What is a FINRA OTR (on-the-record interview)?

What is a FINRA OTR, or on-the-record interview. In short, it is a formal interview by the FINRA staff, where a witness is under oath and the questions and answers are taken down by a court reporter. It is an investigative tool in certain investigations. If you are called to testify at an OTR, you should seek counsel, and be prepared for the interview.

Financial Advisors: A Guide to a Cleaner Form U4

Each week we receive a question (or more) from financial advisors interested in cleaning up their Form U4 and removing negative disclosures. In response to these frequent questions, we've prepared a free report, The Financial Advisor's Guide to a Cleaner Form U4, that answers several FAQs, and also answers questions that advisors should be asking but often are not.

Form U4 Basics: Part 6 – Disclosure Issues Beyond the Form U4

When considering disclosure obligations that you have as a financial advisor, don't limit your thoughts to just the Form U4 and the ADV. There may be other obligations including insurance commissioners' offices, insurance carriers, professional societies and more. In this short video blog, we'll discuss some disclosure obligations beyond the U4 and ADV.