If you need to make U4 updates like:

adding new states

updating your address

updating an OBA or

updating a disclosure

follow this step-by-step process to make sure it’s handled quickly and correctly:

1. submit a U4 update request

[ start a new request ]

In the description, make things as clear as possible and give as much context as you’re able.

<aside> <img src="notion://custom_emoji/121a24a9-b4ae-4900-b905-de253f1e73dc/1624622c-56ca-8074-9822-007a2541cce8" alt="notion://custom_emoji/121a24a9-b4ae-4900-b905-de253f1e73dc/1624622c-56ca-8074-9822-007a2541cce8" width="40px" />

Please note: if your U4 amendment is relating to a new outside business activity or other disclosure requiring a pre-approval, please also submit that approval request through Hadrius.

[here’s how]

Please contact the CCO if you have any questions.

</aside>

2. we’ll open a U4 draft

Once your request is received, we’ll unlock a U4 draft for you to edit. You’ll get confirmation once your U4 draft is open and ready for you to review.

3. log into your FinPro account