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  1. #1
    Join Date
    Oct 2008
    Posts
    1

    Default FINRA Backgound Checks

    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?

  2. #2
    Join Date
    Apr 2007
    Location
    Il.(near StL,Mo.)
    Posts
    5,252

    Default Re: FINRA Backgound Checks

    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.

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