What is Form U-4?
The Manufacturer’s Data Report Supplementary Sheet, also known as Form U-4, is an essential document required by the ASME Boiler and Pressure Vessel Code. It gathers additional information from manufacturers to guarantee the safe operation of boilers and pressure vessels. This form assists regulatory agencies in evaluating the reliability and integrity of the equipment, ensuring that it meets safety standards. Providing this information is vital for maintaining public safety and preventing hazards in industries that rely on these vessels.
What is Form U-4 used for?
Form U-4 is essential for investment representatives in the securities industry. Here's what it's used for:
- Registration: Registers new investment representatives with FINRA as part of a broker-dealer.
- Background Disclosure: Shares personal details, work history, and any disciplinary actions.
- Regulatory Oversight: Maintains a centralized record via the Central Registration Depository (CRD).
- Transparency: Offers public access to important information through FINRA's BrokerCheck database.
How to fill out Form U-4?
- 1
Enter the manufacturer's name and address in the appropriate fields.
- 2
Fill in the purchaser's name and address.
- 3
Specify the installation location clearly.
- 4
List vessel details: type, tank type, serial number, CRN, drawing number, year built, and National Board number.
- 5
Add any extra comments in the remarks section.
Who is required to fill out Form U-4?
Representatives of broker-dealers are responsible for completing Form U-4 to register or transfer representatives in the securities industry, as mandated by FINRA Rule 1013. This form requires detailed disclosures about the applicant's background, including any criminal history and regulatory actions.
FINRA-member broker-dealers use Form U-4 to verify that all applicants meet eligibility criteria for the securities industry. This process helps maintain compliance and integrity, reducing the risk of disciplinary actions or fines.
When is Form U-4 not required?
Form U-4 is not required for individuals exempt from the federal fingerprint requirement under Rule 17f-2 of the Securities Exchange Act of 1934. Additionally, investment adviser representatives applying solely in jurisdictions that do not require broker-dealer registration do not need to file Form U-4.
When is Form U-4 due?
The deadline for Form U-4 is December 26, 2024. This applies to firms needing to respond to the Residential Supervisory Locations (RSL) question if the associated person's office of employment is a private residence. This deadline is for those who have not answered the RSL question prior to the implementation date of November 26, 2024.
How to get a blank Form U-4?
To get a blank Form U-4, simply visit our website. We have this form pre-loaded in our editor, allowing you to fill it out directly. Remember, our platform helps you in filling and downloading forms, but does not support filing.
How to sign Form U-4?
To sign Form U-4, you need to provide a handwritten signature, as only manual signatures are accepted. Once you've filled out the form using PDF Guru, download it and print a copy to sign it by hand. Remember to keep the signed form for your records, as the signature must be handwritten and cannot be submitted electronically. Always check for the latest updates to ensure compliance with current requirements.
Where to file Form U-4?
To submit the Manufacturer’s Data Report Supplementary Sheet, Form U-4, you can file it electronically via the FINRA Gateway if you have access.
If you're not approved for electronic filing, mail the form with original signatures. Keep a copy for your records to show regulators if needed.
