NASD Notice to Members 98-101 - December 1998

NASD Requests Comment on Proposed Amendments to Disclosure Questions on Forms U-4 and U-5; Comment Period Expires January 15, 1999

Executive Summary

NASD Regulation, Inc. (NASD RegulationSM) is proposing to amend disclosure questions on the Form U-4 and Form U-5 that were approved by the Securities and Exchange Commission (SEC) in July 1996, but have not been made effective pending the full implementation of the modernized Central Registration Depository (CRDSM), and is soliciting comment on the proposed amendments.

 

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