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Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)

NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend the Uniform Application for Securities Industry Registration or Transfer ("Form U-4") and the Uniform Termination Notice for Securities Industry Termination ("Form U-5") (collectively the "Forms") and NASD Interpretive Material ("IM") 8310-2.

Text of proposed rule change PDF 88 KB

Amendment No. 1 to Proposed Rule Change PDF 6 KB

Amendment No. 2 to Proposed Rule Change PDF 5 KB

Federal Register Notice PDF 65 KB

Amendment No. 3 to Proposed Rule Change PDF 16 KB

Approval Order PDF 35 KB