Get Form U-5 (06/2003) Instructions Uniform Termination Notice For Securities Industry Registration

The FORM U-5 serves as a Uniform Termination Notice for securities industry registration, essential for both broker-dealers and investment advisers. This guide provides a clear pathway to accurately complete this form online, ensuring that all necessary information is captured correctly.

Follow the steps to effectively complete the FORM U-5 online.

1. Press the ‘Get Form’ button to access the FORM U-5 for online completion.
2. In Section 1 (General Information), enter the individual's first name, middle name, last name, and suffix as needed. Make sure not to use any nicknames or abbreviations.
3. Provide the firm’s CRD number, firm name, and branch number. Ensure the firm’s complete name is used as listed on official documents.
4. Complete Section 2 (Current Residential Address) by entering the individual's full residential address, including street, city, state, country, and postal code.
5. In Section 3 (Full Termination), check the box for the reason for termination, choosing from options like 'Discharged' or 'Voluntary.' Complete this section only for full terminations.
6. If applicable, fill out Section 5 (Partial Termination) by indicating the relevant self-regulatory organizations (SROs) and jurisdictions.
7. Complete Section 6 (Affiliated Firm Termination) by entering details about affiliated firms that are also terminating the individual’s registration.
8. In Section 7 (Disclosure Questions), select ‘yes’ or ‘no’ for each question and provide explanations for any affirmative answers on the Disclosure Reporting Pages (DRPs U5) if it's a full termination.
9. Section 8 (Signature) requires the appropriate signatory to sign the form electronically or manually, ensuring to enter the signing date.
10. Finally, review all sections for accuracy, and you can save changes, download, print, or share the completed U-5 form.

Complete your documents online today to ensure timely and proper submission.