Form U5 Instructions - FINRA

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. 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"). These Instructions apply to the filing of Form U5 electronically with the Central Registration Depository ("CRD ") or the Investment Adviser Registration Depository ("IARDSM"). Filers submitting paper filings should read the Special Instructions for Paper Filers in conjunction with the other Instructions to the form.

Select the type of registration: broker-dealer agent (AG) and/or an investment adviser representative (RA). To terminate registration as an AG or an RA, select the appropriate . jurisdiction(s). Agent of an Issuer. To terminate an Agent of the Issuer (AI) registration with one or more . jurisdictions, contact the appropriate . jurisdiction(s ...

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