Form U5 | Practical Law

Form U5 | Practical Law

Form U5

Form U5

Practical Law Glossary Item w-002-8638 (Approx. 2 pages)

Glossary

Form U5

Also known as the Financial Industry Regulatory Authority's (FINRA) Uniform Termination Notice for Securities Industry Registration. A form used by broker-dealers to terminate the registration of associated persons with FINRA and in other applicable jurisdictions and self-regulatory organizations. The information on the form is filed through Central Registration Depository, FINRA's central licensing and registration system.
The form can be found on the FINRA website along with instructions for completing it.