U4DraftKit

1 Select Type2 Details3 Review & Pay4 Generate

What type of disclosure are you filing?

DRP Section (Form U4 Section 14)

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Brief description of the allegation / event *

Date of Event *

Resolution

Resolution Date

Amount (settlement/penalty, if applicable)

Jurisdiction / Regulatory Body / Court

Optional: Advisor context (years in industry, remediation taken)

Also generate BrokerCheck Rule 8312 Comment Letter (+$30 — bundle saves 14%)

1 Select Type2 Details3 Review & Pay4 Generate

1 Select Type2 Details3 Review & Pay4 Result

✓ Generated Successfully

Copy and paste directly into FINRA CRD Section 14 text field.

⚠️ This output is for drafting only. Review with qualified compliance counsel before CRD submission.

Credits are used when you generate documents. 1 DRP = 39 credits. Bundle = 69 credits.

Email (optional — for receipt)