Question

An amended U4 filing is required if a registered individual: is convicted of a felony, discovers a deficiency in the existing filing, changes employers or residence address, not if

Answer 1

An amended U4 filing is required if a registered individual is convicted of a felony, discovers a deficiency in the existing filing, or changes employers or residence address.

Step-by-step explanation:

An amended U4 filing is required if a registered individual:

1. is convicted of a felony,
2. discovers a deficiency in the existing filing,
3. changes employers or residence address.

This filing is necessary to ensure that the information provided to regulatory bodies remains accurate and up-to-date. It is not required if none of these circumstances occur.