Series 24: Form U5 And Termination Of Service

Taken from our Series 24 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 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 obtained the form from

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Shawn McClain, Natixis, Charlotte NC

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Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA