Transcription of Form U4 and U5 Interpretive Questions and …
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Form U4 and U5 Interpretive Questions and …
form U4 and U5 Interpretive Questions and Answers Below is a list of Frequently Asked Questions (FAQ) regarding a registered person's reporting obligations with respect to Forms U4 or U5. These FAQ are organized by the question number as found on the Forms U4 and U5. form U4. Questions 14A and 14B. Q1: Is a registered person required to report military charges? A: Yes. If a registered person is charged with, pleads guilty or no contest to, or is convicted of a felony or certain enumerated misdemeanors in a military court, such event must be reported. (02/13/98). Q2: If a registered person is convicted of a crime and later pardoned, must the conviction continue to be reported?
Revised 03/05/2015 Form U4 and U5 Interpretive Questions and Answers Below is a list of Frequently Asked Questions (FAQ) regarding a registered person’s reporting obligations
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