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22-May-2020 09:03

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Firms also should consider including specific procedures in their compliance and supervisory manuals regarding the events giving rise to a disclosure obligation, and the proper protocol to follow upon receipt of a Wells Notice or the occurrence of another event triggering disclosure.[2] If the amendment to a Form U4 involves a “statutory disqualification” as defined in Sections 3(a)(39) and 15(b)(4) of the Securities Exchange Act of 1934, the amendment must be filed within ten days of learning of the statutory disqualifying event.

If the disqualified individual is terminated, a Form U5 must be filed within thirty days following termination.

The effective date for most of these changes is May 18, 2009 (the “release date”).

The effective date for the new regulatory action disclosure questions will be 180 days from the release date, or November 14, 2009.

If the firm plans to retain the individual, an MC-400 Membership Continuance Application pursuant to FINRA’s Eligibility Rules (the Rule 9520 Series) must be made to FINRA.

A firm that becomes subject to disqualification must update its Form BD immediately (but no later than thirty days from learning of the disqualifying event), and should simultaneously file an MC-400A Membership Continuance Application with FINRA if it wishes to continue in business.

Additionally, the ten business day deadline under NASD Rule 3070 means that such disclosures may have to be made in advance of other required disclosures.

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There are currently six different Uniform Registration Forms that are used to file information with FINRA.This includes implementing processes which assure that complete information is communicated immediately to those with a need to know and that required filings are made accurately and timely.In particular, firms should ensure that they have effective procedures to facilitate communication between associated persons, their designated supervisors and the registration, compliance or other departments responsible for regulatory filings.Failure to make timely and accurate disclosures can result in significant adverse consequences.

Thus, firms should be aware of the triggers and timeframes for regulatory disclosure and the need to implement effective systems and procedures around these requirements.

The Form U4 (Uniform Application for Broker-Dealer Registration) and the Form U5 (Uniform Termination Notice for Security Industry Registration) are used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs), and jurisdictions.



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