Regulatory Notice 08-03

SEC Approves Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (Form U4), the Uniform Termination Notice for Securities Industry Registration (Form U5) and the Uniform Branch Office Registration Form (Form BR); Effective Date: February 4, 2008

Executive Summary

SEC Approves Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (Form U4), the Uniform Termination Notice for Securities Industry Registration (Form U5) and the Uniform Branch Office Registration Form (Form BR); Effective Date: February 4, 2008 FINRA has made technical amendments to Forms U4, U5 and BR1 that, among other things, reflect the FINRA name change and update the current list of SROs, government jurisdictions and registration categories listed on the Forms.

The online Forms will be updated with the changes described below on February 4, 2008.2

Questions concerning this Notice should be directed to Stefanie Watkins, Senior Counsel, Registration and Disclosure, at (240) 386-4824; or Rachael Grad, Counsel, Office of General Counsel, at (202) 728-8290.

1 See Securities Exchange Act Release No. 57033 (December 21, 2007), 72 FR 74382 (December 31, 2007) (SR-FINRA-2007-036) (Notice of Filing of Proposed Rule Change to Make Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer (FormU4), the Uniform Termination Notice for Securities Industry Registration Form(FormU5) and the Uniform Branch Office Form(Form BR).

2 The Forms are available on FINRA's Web site at
www.finra.org/RegulatorySystems/CRD/FilingGuidance/p005235.