Form U4 Reporting Requirements

What this video covers

• The 30-day general amendment deadline for Form U4 versus the 10-day statutory disqualification deadline, and why the 10-day rule is not merely a stricter version of the general rule
• How the Form U4 30-day amendment clock differs from the separate 30-calendar-day FINRA event-reporting clock, and when a single incident can trigger both
• The narrow non-duplication exception: when checking a specific box on Form U4 can satisfy both filing duties at once
• The nine-item written arbitration disclosure a firm must give an associated person before signing or amending Form U4, including the exact item and page location of the predispute arbitration clause
• How the five core arbitration features differ from court: final and binding awards, limited discovery, no required explanation of awards, possible industry-affiliated arbitrators, and strict time limits
• The 20-day joint request window for an explained decision, measured from the first scheduled hearing date
• The three carve-outs from Form U4's arbitration clause: statutory employment discrimination, whistleblower claims, and sexual assault or sexual harassment (the unique opt-out structure)