Notice to Members 02-20
SEC Approves Technical Changes to Forms U-4 and U-5 and Amendment to NASD Interpretive Material 8310-2
The Securities and Exchange Commission has approved technical changes to Forms U-4 and U-5, effective March 18, 2002. The SEC also has approved an amendment to NASD Interpretive Material 8310-2, which authorizes the NASD to release to the public disciplinary and other information on NASD members and their associated persons.
Questions concerning this Notice may be directed to Richard E. Pullano, Chief Counsel and Director, CRD/Public Disclosure, NASD Regulation, Inc., at (240) 386-4821; or Shirley H. Weiss, Associate General Counsel, Office of General Counsel, NASD Regulation, Inc., at (202) 728-8844.