NASD Special Notice to Members 98-027- March 1998

Interim Forms U-4 and U-5 Go into Effect; Interim Form BD Also Approved

Executive Summary

This Special Notice to Members provides guidance to members in filling out the Interim Forms U-4 and U-5, which become effective on March 16, 1998, and in understanding what information NASD Regulation, Inc., will release as part of its Public Disclosure Program.

• Interim Form U-4
• Interim Form U-5
• Interim Form BD