IA- Sample Resignation Letter with Form U5 Request NY Office of the Attorney General Library The ESA Template allows for

The ESA Template allows for broker-dealers to customize the terms and conditions and specific amounts and % allocations of its costs-sharing arrangements and memorialize such arrangements in accordance with books and records requirements

Members also downloaded Investment Adviser Code of Ethics or Investment Adviser Rep Annual Compliance Certification

Total Page Count/Format: 4/

5/November 10

IA- Sample Resignation Letter with Form U5 Request NY Office of the Attorney General Library The ESA Template allows forThe Investment Adviser Sample Resignation Letter serves as a useful template for formal notification regarding the resignation and voluntary termination of an advisory representative and the corresponding request for a copy of his her full Form U5 filing upon termination. The Form U5 (Uniform Termination Notice for Securities Industry Registration) is used by broker dealers, investment advisers, or issuers of securities to terminate the registration