Series 99: Withdrawal

Taken from our Series 99 - FINRA Operations Professional Qualification Examination

Definition of the term Withdrawal...

when an adviser, broker-dealer, agent, or investment adviser representative chooses to terminate their registration at any time, using a Form ADV-W, BDW, or U5.

Since you're reading about Series 99: Withdrawal, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 99
Please Enable Javascript
to view this content!