Representing Member Firms and Associated Persons in the Disclosure U5 Process: A Primer and Common Pitfalls
November 20, 2023 – Bloomberg Law - Practical GuidanceHoward R. Elisofon, partner and co-chair of Herrick's Securities Litigation and Enforcement Group, and Maxim M.L. Nowak, counsel in Herrick’s Litigation Department, authored an article for Bloomberg Law - Practical Guidance. The piece covers best practices and common oversights when completing and filing a Uniform Termination Notice for Securities Industry Registrations (Form “U5s”) when terminating a registered individual's registration with a member institution.
Read the full article in Bloomberg Law - Practical Guidance here. Access may require a subscription.