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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 |
