Regulatory Alerts2025-10-10 | Regulatory Notice 25-13Added · Updated
FINRA Enhances Its Systems to Facilitate Member Compliance With Form U4 Recordkeeping Requirements
Effective October 10, 2025, FINRA members may rely on the Central Registration Depository (CRD) system to satisfy recordkeeping requirements for Form U4 filings electronically signed via FINRA E-Signature. This relief, obtained from the SEC Staff, allows members to maintain signed copies in CRD instead of retaining separate physical or digital records under FINRA Rule 1010(c) and Exchange Act Rule 17a-4. Members are not required to use FINRA E-Signature but must ensure individuals have a FinPro Gateway account and review the form before submission.
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