U4 For Interns???
Do interns need to fill a U4, and get fingerprinted, etc.?
Just a yes or no, please.
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fingerprint yes, u4, no
yep, i've had to get fingerprints.
any insight into why they take fingerprints if they don't have you fill in u4?
They're still going to check you and make sure you haven't been convicted of securities fraud.
The requirements vary by type of business (BD, RIA, ERA). Suggest you check with a lawyer if you're starting a fund. Generally an intern won't be advising clients so probably doesn't need to be qualified. If you're an intern yourself, not sure why you're obsessing over this?
Thanks for the replies guys, very helpful stuff.
Do small hedge funds/pe firms (less than $100mm), that are ERA need to take finger prints?
Do summer interns need to sign U4s? (Originally Posted: 04/24/2013)
Do banks make summer interns sign U4 forms?
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