Form U5 | Practical Law
Form U5
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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.