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How do I terminate an AP, Branch Office Manager or Principal?

The sponsor must file an electronic Individual Withdrawal Notice (Form 8-T) within 30 days after terminating an AP, principal, or branch office manager who was pending, temporarily licensed, registered or approved. A fee of $100.00 will be charged for a withdrawal notice received more than 30 days after the actual termination date. Broker-dealers may no longer file a Form U-5 in lieu of the Form 8-T; however, they may elect to complete and file the U-5 disciplinary questions as part of the Individual Withdrawal Notice in ORS. The sponsor that files the individual Withdrawal Notice must promptly provide a hard copy version to the person whose association has been terminated.

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