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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.
The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by firms to terminate one or more of the registrations of associated persons with self-regulatory organizations (SROs), and jurisdictions.
The NASD Regulation Public Disclosure Program contains public information about NASD member firms and their associated persons, including registration status, address information, types of business conducted, legal status, and disciplinary history.
Registration GENERAL INSTRUCTIONS The Form U5 is the Uniform Termination Notice for Securities Industry Registration. Brokerdealers, investment advisers, or issu- ers of securities must use this form to terminate the registration of an individual in the appropriate jurisdictions andlor self-regulatory
21 cze 2024 · As a financial advisor, leaving your job requires that the firm file a Form U5, also known as the Uniform Termination Notice for Securities Industry Registration. The form U5 is the mechanism through which the firm severs its relationship with you, separating your registration from the firm’s registrations.
You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck system and indicate whether an entity is a Brokerage firm.
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").
