When filing a Form U4, I received the following completeness check: “A gap of more than one day between Office of Employment Address with the same firm is not allowed.” How can this be corrected?
The purpose of this completeness check is to prevent the firm from submitting a Form U4 where: 1) all of the Offices of Employment Address associations are being closed and the firm has not added a new Office of Employment Address for the individual; or 2) the firm is ending the association with all Offices of Employment Address and the start date for the new Office of Employment is after the end date provided for the Office of Employment Address association that is being closed. After receiving this error, the firm must review Item 1 (General Information) on the Form U4 to make sure the individual has at least one Office of Employment Address association that does not have an end date provided, and make sure the individual is not associated with an Office of Employment Address for more than one day.
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