SR-NASD-1998-096

Amendments to Forms U-4 and U-5

NASDR has filed with the SEC a proposed rule change to amend the Form U-4, the Uniform Application for Securities Industry Registration or Transfer, and the Form U-5, the Uniform Termination Notice for Securities Industry Termination.

Text of Proposed Rule Change (PDF 73 KB)
Amendment No. 1 to Proposed Rule Change (PDF 11 KB)
Amendment No. 2 to Proposed Rule Change (PDF 3 KB)
Amendment No. 3 to Proposed Rule Change (PDF 3 KB)
Amendment No. 4 to Proposed Rule Change (PDF 12 KB)
Amendment No. 5 to Proposed Rule Change (PDF 3 KB)
Response to SEC Request for Information (PDF 32 KB)
Federal Register Notice (PDF 43 KB)
Federal Register Notice - Filing of Amendment No. 4 (PDF 21 KB)
Approval Order (PDF 39 KB)