SIE: Form U5 And Termination Of Service

Taken from our SIE Online Guide

Form U5 and Termination of Service

Should a person registered with a member firm resign, or get laid off or fired, the member firm must file a Form U5 with FINRA within 30 days of the termination date. The firm must also provide a copy to the former employee within the same time frame. FINRA will assess a late filing fee on member firms th

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