SIE practice questionmediumForm U4 amendments
How soon must a Form U4 be amended if a registered representative is charged with a felony?
- AWithin 90 days
- BWithin 60 days
- CPromptly, within 30 days✓ Correct answer
- DAnnually
Explanation
Why C — Promptly, within 30 days
Form U4 must be updated promptly, defined as within 30 days of learning of the event.
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