Question

A registered representative has left one firm to join another. Sometime later, the former employer discovers that some information on Form U-5 filed at the time of termination was inaccurate. The firm need not file an amended U-5 if at least how much time has gone by

Answer 1

No stated time limit has been given if the firm had not filed an amended U-5.

What is the time limit to be followed for filing form U-5?

Form U5 must be filed within thirty days of the date of the termination event, and it requires a firm to provide accurate answers to various questions, including the reason for an associated person's termination of their registration.

Form U5 is the Uniform Termination Notice for Securities Industry Registration which includes the Broker-dealers, funding advisers, or issuers of securities who ought to use this form to terminate the registration of a person in the best jurisdictions.

Hence, no stated time limit has been given if the firm had not filed an amended U-5.

Learn more about Form U5:

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