NASD 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").
| Text of Proposed Rule Change | (PDF 544 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 6 KB) |
| Amendment No. 2 to Proposed Rule Change | (PDF 6 KB) |
| Federal Register Notice | (PDF 53 KB) |
| Amendment No. 3 to Proposed Rule Change | (PDF 17 KB) |
| Approval Order | (PDF 51 KB) |
