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ARTICLE · 30 JUNE 2020

FINRA To Enhance Registration Form User Interface

Hogan Lovells Cadwalader
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FINRA will enhance the user interface for the Uniform Application for Securities Industry Registration or Transfer.

United StatesCorporate/Commercial Law
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
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FINRA will enhance the user interface for the Uniform Application for Securities Industry Registration or Transfer ("Form U4"). In an information notice, FINRA said the revised Form 4 interface was part of FINRA's transition "in stages" to mandating exclusive use of its Financial Professional Gateway ("FinPro") for collaborative registering. Updates to the Form U4 filing website will include (i) modernized data entry screens, (ii) a more logical order of questions and (iii) enhanced validation features designed to decrease filing errors.

FINRA will release the updates to the Form U4 on October 5, 2020, which is also the date that firms using collaborative registering will be required to use FinPro.

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