Form U5 definition

Form U5 means the uniform termination notice for securities industry registration.
Sample 1Sample 2Sample 3
Form U5 means the Uniform Termination Notice for Securities Industry Registration as issued by FINRA.
Sample 1Sample 2Sample 3
Form U5 means the Uniform Termination Notice for Securi- ties Industry Registration.
Sample 1

Examples of Form U5 in a sentence

  • In conducting its review of the Form U5, the Member shall take such action as may be deemed appropriate.

  • If the applicant previously has been registered with LTSE or another self-regulatory organization, the Member shall review a copy of the applicant’s most recent Form U5, including any amendments thereto, within 60 days of the filing date of an application for registration, or demonstrate to LTSE that it has made reasonable efforts to do so.

  • The applicable Member shall also electronically report to the CRD System, by means of an amendment to the Form U5 filed pursuant to paragraph (r)(1) above, in the event that the Member learns of facts or circumstances causing any information set forth in the notice to become inaccurate or incomplete.

  • The application for withdrawal of registration as an investment adviser representative pursuant to W.S. § 17-4-408(a) shall be completed by following the instructions on Uniform Termination Notice for Securities Industry Registration, Form U5, and by filing the form electronically with IARD within 30 days of the date of termination.

  • The application for termination of registration as an investment adviser representative shall be completed by filing Form U5 (Uniform Termination Notice for Securities Industry Registration) electronically with IARD within thirty (30) days of the date of termination.

  • All signatures required on this Form U5 filing must be made in this section.A "Signature" includes a manual signature or an electronically transmitted equivalent.

  • The Reason for Termination and Section 7 (DISCLOSURE QUESTIONS) should only be completed on Form U5 for full termination requests.

  • A Form U5 must be used to report a termination of an agent or representative.

  • Where a registrant withdraws, cancels, or otherwise terminates registration, or is terminated for any reason, notice of such fact shall be filed with the Office within thirty (30) calendar days of the date of termination by electronically filing a Uniform Termination Notice for Securities Industry Registration (Form U5) (05/2009) with the Office through the CRD.

  • A withdrawal request shall be made by filing an accurate and complete Form U-5 with the administrator.50.12(4) An issuer seeking to employ persons as agents of the issuer within the meaning of Iowa Code section 502.102(2) must apply in writing to the administrator for such authority.

Related to Form U5

  • Securities Transfer Act means the Securities Transfer Act (British Columbia) from time to time in force and all amendments thereto and includes all regulations and amendments thereto made pursuant to that Act.

  • Rule 462(b) Registration Statement means a registration statement and any amendments thereto filed pursuant to Rule 462(b) relating to the offering covered by the registration statement referred to in Section 1(a) hereof.

  • Annual Report means any Annual Report provided by the Issuer pursuant to, and as described in, Sections 3 and 4 of this Disclosure Certificate.