Connecticut Form U-5 (includes Instructions and Definition of Terms) is a form used to report the termination of a securities representative from a broker/dealer firm in the state of Connecticut. The form is required to be filed with the Connecticut Department of Banking’s Securities and Business Investments Division (SBI). There are two types of Connecticut Form U-5: Form U-5A and Form U-5B. Form U-5A is used to report the termination of a registered representative, while Form U-5B is used to report the termination of a broker/dealer. Instructions for completing Connecticut Form U-5 include providing the name and registration number of the registered representative, the date of termination, the reason for termination, and the date of the most recent customer complaints report. Definition of Terms: Registered Representative — A person who is registered with the state of Connecticut as a broker/dealer and is authorized to buy and sell securities. Broker/Dealer — A firm that is registered with the state of Connecticut that is authorized to buy and sell securities. Termination — The end of a securities representative’s or broker/dealer’s registration. Customer Complaints Report — A report filed with the Connecticut Department of Banking listing all customer complaints made regarding the registered representative or broker/dealer.
Connecticut Form U-5 (includes Instructions and Definition of Terms)
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