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