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Upon termination a Form U5 must normally be filed within how many days?

1) 15 days
2) 60 days
3) 45 days
4) 30 days

User Eaydin
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2 Answers

2 votes

Answer:

The answer is 4)30 days...........

User Yann Ramin
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Final answer:

Upon termination, Form U5 should normally be filed within 30 days after a representative's termination. This prompt filing is crucial for compliance within the securities industry regulations.

Step-by-step explanation:

Upon termination a Form U5 must normally be filed within a specific period. According to regulatory requirements, this form should be filed within 30 days following the termination of a registered representative. The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by brokerage firms to provide notice of a representative's termination. It is important that the form is filed promptly, as failing to do so can have regulatory consequences for the firm.

User Bilel
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