On a U4 Amendment, why am I getting a completeness check error that is not related to the information that I am trying to amend?
Individuals that have been previously converted from Legacy CRD and have not filed an Amendment since August 1999 may be missing certain required data elements in their CRD record. If you attempt to update such an individual (even if you are just requesting a new registration), the form will not be processed until his/her existing CRD record is complete. If you have not submitted a form filing for an individual since August 1999, you may want to submit a filing for the individual online via Web CRD before filing for him/her via Web EFT. Completeness Check Error – Example:
Related Questions
- Does a firm have to wait for a state to approve an individual who has transitioned before submitting the Form U4 Amendment filing for the individual?
- On a U4 Amendment, why am I getting a completeness check error that is not related to the information that I am trying to amend?
- Can I submit an amendment form to amend several different protocols at once?
