Form U4 - Felony Disclosures

Series 66

For test purposes, Form U4 does or does not require ALL felony convictions within 10 years to be disclosed?

I understand that investment and securities-related felony convictions within the last 10 years must be disclosed, but what about, like, a reckless speeding ticket that resulted in a felony conviction?

Thanks!

Posted Oct 30, 2025, 4:01 PM UTC

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