Statements (23)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
financial regulatory form
|
| gptkbp:availableOn |
FINRA BrokerCheck
|
| gptkbp:contains |
gptkb:crime
investigations regulatory actions disclosure of customer complaints reason for termination |
| gptkbp:filedWhen |
an individual is terminated
an individual leaves a firm |
| gptkbp:filedWithin |
30 days of termination
|
| gptkbp:filingDate |
gptkb:FINRA
state securities regulators |
| https://www.w3.org/2000/01/rdf-schema#label |
Form U5
|
| gptkbp:language |
English
|
| gptkbp:purpose |
to update information about a terminated individual
to terminate registration of an individual |
| gptkbp:relatedTo |
gptkb:Form_U4
|
| gptkbp:requires |
gptkb:Securities_Exchange_Act_of_1934
state securities laws |
| gptkbp:usedBy |
broker-dealers
investment advisers |
| gptkbp:bfsParent |
gptkb:Central_Registration_Depository
|
| gptkbp:bfsLayer |
7
|