SIE - Securities Industry Essentials Exam

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A broker-dealer has to terminate a representative's association with the firm because the rep has changed firms. What must the broker-dealer fill out and submit to FINRA?

U-3
A
U-4
B
U-5
C
U-6
D

Explanations

The old firm must fill out and submit a completed U-5 form to FINRA.

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