SIE Exam Question 9: Answer and Explanation

Question: 9

Which of the following items does not need to be reported on Form U4?

• A. Bankruptcy
• B. DUI
• C. Medical condition
• D. Address change

Correct Answer: C

Explanation:

Medical conditions do not need to be reported on Form U4. A bankruptcy filing, DUI, and address change must be reported promptly on the registered representative's Form U4.