 |
| |
SR-NASD-2006-046 |
Technical Amendments to Rule 3080 Regarding Disclosures to Associated Persons When Signing Form U-4
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3080 (Disclosures to Associated Persons When Signing Form U-4) to correct the reference to the name of the Form U4 (Uniform Application For Securities Industry Registration or Transfer) and the location of the predispute arbitration clause in the Form U4.| Text of Proposed Rule Change PDF 49 KB |
| Notice of Filing and Immediate Effectiveness PDF 57 KB |
