SIE (Securities Industry Essentials) Practice Exam

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Which of the following is NOT required information that must be included in the U4?

All current investment assets
Educational history
Employment history
Criminal record

The correct answer is: All current investment assets

The U4 form is used by the Financial Industry Regulatory Authority (FINRA) to register securities industry professionals. It is important to include educational history, employment history, and criminal record information in this form as it helps to provide a comprehensive background on the individual. However, current investment assets are not required to be included in the U4 form. This information may be helpful in assessing an individual's financial background, but it is not a requirement according to FINRA regulations. Therefore, option A is the incorrect choice as it is not a necessary piece of information for the U4 form.