SIE practice questionmediumRegulatory filing deadlines
Within how many days must a broker-dealer file a Form U5 after the termination of a registered person?
- A10 days
- B30 days
- C20 days
- D15 days✓ Correct answer
Explanation
Why D — 15 days
FINRA requires Form U5 to be filed within 15 days of termination.
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