Transcription of Form U5 Instructions - finra.org
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Form U5 Instructions - finra.org
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").
SPECIFIC INSTRUCTIONS . for completing the Form U5 . NOTICE TO THE INDIVIDUAL WHO IS THE SUBJECT OF THIS FILING Note: Even if you are no longer registered, you continue to be subject to the
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