Form U-5 definition
Examples of Form U-5 in a sentence
Notwithstanding the foregoing, Introducing Firm need not notify Clearing Agent of “minor rule violations” (as that term is defined in connection with Form U-5) of individuals, with the exception of directors, general securities principals, financial principals, operations principals and individuals listed on Schedule A of Introducing Firm’s Form BD.
Notwithstanding the foregoing, Broker need not notify Pershing of “minor rule violations” (as that term is defined in connection with Form U-5) of Broker or Broker Executives.
Applicant further represents that the registrations for waive-in Associated Persons, registered with BX, will be kept current by proper amending of Form U4 and Form U5.
Except as is not material to the Argon Business taken as a whole, no such associated person has engaged in any conduct that would require an affirmative answer to any question under (i) Item 14 of Form U4 or (ii) Item 7 of Form U5 (regardless of whether such associated person is subject to that form).
The Company will file a Form U-5 within thirty (30) days of Employee’s Separation Date as it is required to do.
I understand and agree that such indebtedness may be disclosed on my Form U-5 or to other firms.
Introducing Advisor has also delivered a copy of every Form U-5 (Uniform Termination Notice for Securities Industry Registration) previously received by Introducing Advisor from any other broker-dealer or investment advisor.
As of the Closing Seller or its Affiliates shall file a Form U-5 termination for each Transferred Employee by the Closing (except with respect to the Stockholders who will remain dual registered with Seller or its Affiliates and with Buyer).
The Company shall timely file a Form U-5 with the NASD stating that the reason for your departure was "Voluntary," and shall cooperate with you in connection with the prompt transfer of your registration(s).
For purposes of this Section, the term “for cause” is defined to mean any response other than “voluntary” under Section 3 of Form U5.