If the individual has a conviction for first-degree homicide, is it st...

When completing Form U4, the applicant must disclose any felony conviction and any charge of a felony violation, no matter how long ago it occurred. No matter how minor—or serious—the felony may seem, it is treated as a felony, whether for theft, burglary, rape, or homicide. After 10 years, an individual with a homicide conviction would not be precluded from associating with a member firm under FINRA rules based solely on that. Would a broker-dealer hire the individual? That is a different question, of course, and not one that can be answered across-the-board. Some firms may view a homicide conviction with less concern than they would view a conviction for armed robbery or embezzlement. Others may choose not to hire convicted felons, period.