My question involves a background check in the State of: Florida
I have a sealed criminal record, will the FBI disclose this information to FINRA? Do I need to disclose this on my U-4?
My question involves a background check in the State of: Florida
I have a sealed criminal record, will the FBI disclose this information to FINRA? Do I need to disclose this on my U-4?
http://www.fdle.state.fl.us/expunge/...s_allowed.html
U-4 form: Q. If a registered person is convicted of a crime and later pardoned, or gets it expunged or sealed must the conviction continue to be reported? A. A person convicted of a crime and subsequently pardoned or has it expunged or sealed must continue to report the conviction. If the conviction is expunged or sealed, a copy of the court's order should be sent to FINRA-CRD.