SIE - Securities Industry Essentials Exam
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When a firm learns of an employee's statutory disqualifying event, how many days must the firm amend the U4 form?
Within 30 days
A
Within 20 days
B
Within 10 days
C
The same day; unless discovered after 5PM ET
D
Explanations
The firm must amend the U4 form within 10 days of learning of a statutory disqualifying event.