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✓ Correct answer
- C20 days
- D15 days
Explanation
Why B — 30 days
A broker-dealer must file Form U5 within 30 days after a registered person's termination.
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