Series 14: 7.2.4.5.8. Form U5 And Termination Of Service

Taken from our Series 14 Online Guide

7.2.4.5.8. 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 failing to meet that deadline.

If a registered person leaves a member firm and associates with another member firm, the employee must provide a copy of Form U5 to the new employer upon request. The Form U5 must be provided either within two business days, if the employee has obtain

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