FINRA, other self-regulatory organizations (SROs) and jurisdictions use Form U5 (Uniform Termination Notice for Securities Industry Registration) to terminate registration and, if …

The Form U5 is the Uniform Termination Notice for Securities Industry Registration.

May 5, 2025 · The Form U5 is the Uniform Termination Notice that broker-dealers and investment advisory firms must file with FINRA when an advisor leaves their firm for any reason.

Learn about FINRA Form U5 including who files it, what it includes, key deadlines, and how it affects registered individuals in the financial services industry.

As a financial advisor, leaving your job requires that the firm file a Form U5, also known as the Uniform Termination Notice for Securities Industry Registration.

Feb 13, 2024 · What Is A U5 Form? FINRA form U5, or Uniform Termination Notice for Securities Industry Registration, is a document used by securities firms to report the termination of …

Jan 3, 2018 · What is Form U5 and What is it used for? The Form U5 is the Uniform Termination Notice for Securities Industry Regulations. Upon terminating a registered representative or an …

When a financial advisor resigns, or is terminated, FINRA member firms are required to submit a Form U5 to FINRA. The Form U5 provides information to FINRA about the circumstances …

Form U5 serves as a uniform termination notice, required to be filed by a firm when any of its registered employees departs the firm, for any reason, whether they are fired, quit, or even if …

Nov 20, 2025 · FINRA’s Form U5 tracks, among other things, the employment history of registered representatives and the circumstances surrounding why a registered representee’s …