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In Form U4, what goes under employment history vs. other business?

April 7, 2021

Financial Planning’s readers ask when should something be listed on their U4 under Section 12 (Employment History) and when it should be listed in Section 13 (Other Business)?  Should you record your outside business activity in both places?

Foreside’s Alan Foxman, Managing Director, shares his insights on completing both Sections of your U4, in addition to keeping potential conflicts of interest from your listed activities which may prompt additional disclosures.

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