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Form U5 Uniform Termination Notice for Securities Industry Registration General Instructions [Rev. Form U5]
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The OCLC Open WorldCat number for the electronic document record is '830325135'.
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.Rev. Form U5 (05/2009) Form U5 Uniform Termination Notice for Securities Industry Registration GENERAL INSTRUCTIONS The Form U5 is the Uniform Termination Noti ce for Securities Industry Registration. Broker-dealers, investment advisers, or issu ers of securities must use this form to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs"). These instructions apply to the filing of Form U5 electronically with the Central Registration Depository ("CRD (R)") or the Investment Adviser Registration Depository ("IARD SM"). Filers submitting paper filings should read the Special Instructions for Paper Filers in conjunction with the other instructions to the form. In addition, paper filers should contact the appropriate jurisdiction and/or SRO for specific filing instructions or requirements. Filers must answer all questions and submit all requested information, unless otherwise directed in the Specific Instructions. Only Se
Jefferson Terrace, Ste. 300A
Document Descriptive Information
- Date Accepted Into Depository: Fri, 24 Aug 2012 16:43:27 UTC
- Checksum Algorithm: MD5 SHA1
- Document File Checksum:
- 20120719195625_p015113.pdf - checksum='860906034' byte count= '70491'
Other Descriptions Supplied by the Issuing Agency
- contactCity: Springfield
- contactOrganization: Illinois Secretary of State. Securities Department
- contactPhoneNumber: 217-782-2256
- contactState: IL
- contactStreetAddress2: 300 W. Jefferson St.
- contactZipCode: 62702
- dateCreated: 05 12 2009
- dateLastModified: 05 14 2009
- description: The Form U5 is the Uniform Termination Notice for Securities Industry Registration.
- govType: State
- language: EN-English
- numberOrIssue: May
- originallyProvidedURL: http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015113.pdf
- originatorDepartment: Office of Secretary of State
- originatorJurisdiction: Illinois
- originatorOffice: Illinois
- volumeOrYear: 2009