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Rev. Form U5 (05/2009) Form U5 Uniform Termination Notice for Securities Industry Registration GENERAL INSTRUCTIONS The Form U5 is the Uniform Termination Notice for Securities Industry Registration.

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Who Files a Form U5? Entitled system users at broker-dealer and investment adviser firms are required to file Forms U5 on behalf of registered representatives and investment adviser representatives. The form must disclose why an individual left the firm and other certain events.

GENERAL INSTRUCTIONS 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 u-5 Form U5 requires firms to indicate whether a termination was full, and if so, give a Reason for Termination (“Discharged,” “Other,” “Permitted to Resign,” “Deceased,” or “Voluntary”), and a Termination Explanation if the reason for termination was “Permitted to Resign,” “Discharged,” or “Other.”

The information collected on Form U5 is readily available to both employers and certain government agencies. For example, any employer can get a copy of an employees' U4 or U5 forms by contacting FINRA's Central Registration Depository (CRD) department.

The Form U5 must be filed within thirty days of the date of the termination event, and it requires a firm to provide accurate answers to various questions, including the reason for an associated person's termination of their registration.

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. Firms are also required to provide the individual with a copy of their Form U5 within 30 days.

Although there are different types of Form U5 termination filings, such as reporting full or partial terminations or amending past Forms U5, when it comes to full terminations, there are really only three causes: death, being fired and voluntarily resigning.

Although there are different types of Form U5 termination filings, such as reporting full or partial terminations or amending past Forms U5, when it comes to full terminations, there are really only three causes: death, being fired and voluntarily resigning.

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© Copyright 1997-2025
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232