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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").
FINRA, other self-regulatory organizations (SROs) and jurisdictions use Form U5 (Uniform Termination Notice for Securities Industry Registration) to terminate registration and, if relevant, details why an individual left the firm. Effective September 25, firms can now enable two new optional features in FINRA Gateway’s Firm Settings.
Individual Form Filing - Form U5 Submit Filing - Submitting a filing is a two-step process: Web CRD automatically runs a completeness check when Submit Filing is selected.
The Form U5 is the Uniform Termination Notice for Securities Industry Registration.
When a financial advisor resigns, or is terminated, FINRA member firms are required to submit a Form U5 to FINRA. The Form U5 provides information to FINRA about the circumstances surrounding the termination.
Broker-dealers and investment advisers use Form U5 to terminate a representative’s registration in a particular jurisdiction or with a particular self-regulatory organization. Firms terminating the registration of an associated person must respond to a series of disclosure questions.
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