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BD- Sample Resignation Letter with Form U5 Request

BD- Sample Resignation Letter with Form U5 Request

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The Broker-Dealer Sample Resignation Letter serves as a useful template for formal notification regarding the resignation and voluntary termination of an broker-dealer representative and the corresponding request for a copy of his/her full Form U5 filing upon termination.  The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by broker-dealers, investment advisers, or issuers of securities to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs").

Version/Update: V.2/September 26, 2018

Total Page Count: 1

Source/Author(s): Connexien

Published by: Connexien

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