Regulatory Notice 10-39
Obligation to Provide Timely, Complete and Accurate Information on Form U5
This Notice reminds firms of their obligation to provide timely, complete and accurate information on Form U5 (Uniform Termination Notice for Securities Industry Registration).
Questions concerning this Notice should be directed to the FINRA Gateway Call Center at (301) 590-6500.
|View Full Notice||PDF 76 KB|