I see in the chapters that it says a conviction in the past 10 years must be reported. I just got an email because I asked for feedback on a question and they said “only security related misdemeanor history needs to be reported” I’m pretty sure that is false. If someone is convicted of a crime, that needs to be reported.
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Hi, our material is accurate! Here’s the specific language on Form U-4:
Have you ever:
(a) been convicted of or pled guilty or nolo contendere (“no contest”) in a domestic, foreign or military court to a misdemeanor involving: investments or an investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
So why was my answer incorrect. I got the question wrong because it says he did not have to report a drunk driving misdemeanor. That is not correct.
I said a public intoxication misdemeanor conviction 7 years ago must be disclosed. And was marked incorrect, as of what you are saying, they do ask for it.
Hi, it might have been an EXCEPT question or something similar!
If you have a question on a specific quiz, you can use the feedback icon 
in the top right to reach out - this way we can see specifically what you’re referencing.
I did, they responded and wrote that the question is correct but I disagree. "An individual applies for registration as a registered repisentative. Which of the following disclousers mus be made during the process?
- Address of residence 6 years ago
- Emplotment status 7 years ago
- insider trading felony charge 11 years ago
- public intoxicationmisdemeanor conviction 7 years ago
Answer choices
2 and 3
2 and 4
1 and 3
1 2 3 and 4
I think the answer should be 2 3 and 4.
I looked up the question from our support conversation:
Since the public intoxication misdemeanor conviction is not securities-related, it does not need to be disclosed.
IV. Public intoxication misdemeanor conviction 7 years ago
Okay thank you. So any convicition does not have to be reported? Only security related ones? What were to happen if someone was a convicted murderer, that seems unlikely it doesn’t have to be reported. That is the only reason I am confused. Thanks again
There are different levels of crimes with different reporting requirements.
Severe crimes like murder are felonies, and must be reported.
Lesser crimes like a DUI are often misdemeanors; only security-related misdemeanors need to be reported.
Also, note that a charge means the person was accused, but not necessarily convicted of the crime.