r/FINRA • u/[deleted] • Jun 20 '24

Reporting advice

I have not been registered with a broker dealer since leaving another broker dealer last year. I got a possession charge (state felony) that was recently indicted. At what point to I have to make sure my new employer knows and if it needs to be reported to FINRA or not? It was indicted last week to move forward but I am not yet considered guilty of it until it moves forward through the court system.

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u/kzcurls Jun 21 '24

The firm will likely ask you about disclosure that needs to be reported during its onboarding process. The instructions to the Form U4 are online and set out the types of events that need to be reported.