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A Form U5 must be filed when an individual leaves a firm for any reason. A Form U5 must be submitted within 30 days of the individual’s employment end date and generally must be filed electronically.
The Form U5 is the Uniform Termination Notice for Securities Industry Registration.
Therefore, you must forward any residential address changes for two years following your termination date or last Form U5 amendment to: CRD Address Changes, P.O. Box 9495, Gaithersburg, MD 20898-9495. 1. GENERAL INFORMATION. 2. CURRENT RESIDENTIAL ADDRESS.
The Form U5 is the Uniform Termination Notice for Securities Industry Registration. Broker-dealers, investment advisers, or issuers of securities must use this form to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs").
The Form U4 (Uniform Application for Broker-Dealer Registration) and the Form U5 (Uniform Termination Notice for Security Industry Registration) are used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs), and jurisdictions.
Broker-dealers register by filing an application on Form BD, which you may obtain from the SEC's webpage at https://www.sec.gov/files/formbd.pdf or through the SEC's Publications Office at (202) 551-4040. You also use Form BD to: apply for membership in an SRO, such as FINRA or a registered national securities exchange;
17 Απρ 2023 · NASAA’s Uniform Forms library contains 17 common forms for use by broker-dealers, investment advisers and securities issuers.
