Willfully failed to amend his Form U4 to disclose material facts
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Oct 23, 2010 3:20 am
What does that mean? And, why do people get barred for this? Any examples?
Did not report outside business activities would be my first guess. If anything changes from last time your U4 was processed then you must amend it.
Yup, outside activity, but also reporting a felony or bankruptcy among other things.