Step 1 of 7: Identity
SEC Filings & Disclosure
Broker-dealers, advisers & fundsChoose U4 or U5 and its exact filing type; capture the trigger date, SRO/jurisdiction/category scope, restricted individual identity, employment, residence, office, disclosures and DRPs; conditionally collect termination and signed disclosure-amendment acknowledgment; calculate the 30-day deadline; obtain firm approval; pass CRD validation; submit through FINRA Gateway; and preserve the filed copy delivered to the individual.
Basis: Individual registration
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
7 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 7
ScreenSEC › SEC Workflows › Form U4 or U5 individual registration filingstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Employing or terminating firm (required)
entityIdSelect the firm filing for the associated person; personal data remains in restricted evidence artifacts.
Step 2 of 7
ScreenSEC › SEC Workflows › Form U4 or U5 individual registration filingstep 2
Complete the Scope fields. Each value is validated against the schema before the next step unlocks.
Individual registration form (required)
formTypeEnter individual registration form.
Filing type (required)
filingVariantEnter filing type.
Date the firm learned of the event or termination date (required)
triggerDateEnter date the firm learned of the event or termination date.
Restricted individual CRD snapshot artifact ID (required)
individualSnapshotArtifactIdEnter restricted individual crd snapshot artifact id.
SRO, jurisdiction, branch, and category scope artifact ID (required)
registrationScopeArtifactIdEnter sro, jurisdiction, branch, and category scope artifact id.
Step 3 of 7
ScreenSEC › SEC Workflows › Form U4 or U5 individual registration filingstep 3
Complete the Content fields. Each value is validated against the schema before the next step unlocks.
Identity, names, employment, and history artifact ID (required)
identityAndEmploymentArtifactIdEnter identity, names, employment, and history artifact id.
Residential, office, and branch information artifact ID (required)
residentialAndOfficeArtifactIdEnter residential, office, and branch information artifact id.
Disclosure questions and required DRPs artifact ID (required)
disclosureQuestionsAndDrpsArtifactIdEnter disclosure questions and required drps artifact id.
Termination date, reason, explanation, and registration scope IDoptional
terminationArtifactIdEnter termination date, reason, explanation, and registration scope id.
Step 4 of 7
ScreenSEC › SEC Workflows › Form U4 or U5 individual registration filingstep 4
Complete the Acknowledgment fields. Each value is validated against the schema before the next step unlocks.
Filing changes disclosure information (required)
disclosureAmendmentEnter filing changes disclosure information.
Signed individual amendment acknowledgment artifact IDoptional
individualAcknowledgmentArtifactIdEnter signed individual amendment acknowledgment artifact id.
Step 5 of 7
ScreenSEC › SEC Workflows › Form U4 or U5 individual registration filingstep 5
Complete the Routing fields. Each value is validated against the schema before the next step unlocks.
30-day deadline, late status, and fee calculation artifact ID (required)
deadlineAndFeeArtifactIdEnter 30-day deadline, late status, and fee calculation artifact id.
Step 6 of 7
ScreenSEC › SEC Workflows › Form U4 or U5 individual registration filingstep 6
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Registration/compliance approval artifact ID (required)
firmApprovalArtifactIdEnter registration/compliance approval artifact id.
Authorized CRD submitter evidence artifact ID (required)
authorizedSubmitterArtifactIdEnter authorized crd submitter evidence artifact id.
Step 7 of 7
ScreenSEC › SEC Workflows › Form U4 or U5 individual registration filingstep 7
Complete the Package fields. Each value is validated against the schema before the next step unlocks.
CRD completeness-check evidence artifact ID (required)
crdCompletenessCheckArtifactIdEnter crd completeness-check evidence artifact id.
Filed copy and delivery-to-individual evidence ID (required)
individualCopyArtifactIdEnter filed copy and delivery-to-individual evidence id.
Continue with the next guide in this framework's table of contents.
Select the legally operative form version and filing type, calculate adviser/fund scope and deadlines, capture all applicable fund, strategy, exposure, liquidity, leverage, counterparty, risk, aggregation, look-through, estimate, and assumption data, obtain data-owner and CCO approvals, validate the confidential XML or portal payload, submit through PFRD, and reconcile its receipt.
Read guide Broker-dealers, advisers & fundsPrepare an initial or amended Investment Company Act exemptive application, preserve applicants, facts, legal standards, requested order, conditions, precedent, correspondence, verification, signatures, and exhibits; submit through EDGAR; distinguish EDGAR acceptance from a later Commission exemptive order.
Read guide Broker-dealers, advisers & fundsPrepare an initial, amendment, or cessation notice for a non-NMS ATS; gate NMS stock activity into Form ATS-N; capture broker-dealer registration, operations, access, fair-access, order-display, systems, surveillance, books, records, safeguards, exhibits, and signature evidence; and reconcile Commission receipt without representing the notice as Commission approval.
Read guide