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  1. #1
    Join Date
    Jan 2016
    Posts
    25

    Red face Must You Disclose an Employment Settlement Agreement to Regulators Like SEC/FINRA

    My question involves a professional license in the state of:NY/NJ
    Does SEC/FINRA/other regulators forms need to have a settlement agreement with previous employer disclosed ?

  2. #2
    Join Date
    Oct 2014
    Posts
    7,214

    Default Re: Disclose an Employment Settlement Agreement to Regulators Like Sec/Finra

    That will depend on the regulator and the form you are filing. If the form is not clear on what must be disclosed, try asking the agency what it requires.

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