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What should the firm do if the firm transitions an individual in error (i.e., marks a state in error)?

April 26, 2017Error firm individual marks State transitions

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What should the firm do if the firm transitions an individual in error (i.e., marks a state in error)?

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The firm should file a Partial Form U-5 to terminate the transition registration(s) submitted in error. If the individual is only transitioned in one state, the firm should submit a Full Form U-5. The Initial Set-up Fee of $45 is nonrefundable.