Comments on: Form U4 and Form U5 Amendments http://www.hedgefundlawblog.com/form-u4-and-form-u5-amendments.html Blogging on hedge fund laws, starting a hedge fund, news and events... Thu, 05 Jan 2012 15:32:15 +0000 hourly 1 http://wordpress.org/?v=3.3.1 By: Hedge Fund Lawyer http://www.hedgefundlawblog.com/form-u4-and-form-u5-amendments.html/comment-page-1#comment-6216 Hedge Fund Lawyer Sun, 03 Apr 2011 18:12:02 +0000 http://www.hedgefundlawblog.com/?p=2219#comment-6216 Ram, The requirements on the U4 are detailed as to when an event needs to be disclosed. I recommend you discuss with the compliance person at your firm. For more information on disclosure items, you can also consult the Form U4 instructions: http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015111.pdf Best, Bart Ram,

The requirements on the U4 are detailed as to when an event needs to be disclosed. I recommend you discuss with the compliance person at your firm. For more information on disclosure items, you can also consult the Form U4 instructions: http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015111.pdf

Best,
Bart

]]> By: RVB http://www.hedgefundlawblog.com/form-u4-and-form-u5-amendments.html/comment-page-1#comment-6197 RVB Sat, 26 Mar 2011 21:52:20 +0000 http://www.hedgefundlawblog.com/?p=2219#comment-6197 Recently there was a change in my financial position. I made a compromise with creditors (credit card debt). I was allowed to pay a lesser amount than I owed on credit card debt and close the credit card..I got a 1099 C. My question. I believe I have to amend my U4 accordingly and submit. Please advise. Thanks Ram Recently there was a change in my financial position. I made a compromise with creditors (credit card debt).
I was allowed to pay a lesser amount than I owed on credit card debt and close the credit card..I got a 1099 C.
My question.
I believe I have to amend my U4 accordingly and submit.
Please advise.
Thanks
Ram

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