Notice to Members 98-101
NASD Requests Comment on Proposed Amendments to Disclosure Questions on Forms U-4 and U-5
NASD Regulation, Inc. (NASD RegulationSM) is proposing to amend disclosure questions on the Form U-4 and Form U-5 that were approved by the Securities and Exchange Commission (SEC) in July 1996, but have not been made effective pending the full implementation of the modernized Central Registration Depository (CRDSM), and is soliciting comment on the proposed amendments.
The online version of this monthly Notices to Members edition varies from the printed version. This online version contains Special Notices to Members whereas the printed version did not include the Special Notices. Please be aware of this discrepancy in order to avoid confusion when comparing the two versions.