Proposed Rule Change to Make Technical Amendments to the U4 and U5 and Branch Office Forms

Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make technical amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4"), the Uniform Termination Notice for Securities Industry Registration ("Form U5") and the Uniform Branch Office Form ("Form BR") (hereinafter referred to as "Forms"). The technical amendments, among other things, reflect NASD's change in corporate name to FINRA and update the current list of self-regulatory organizations ("SROs"), government jurisdictions and registration categories listed on the Forms.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 2.87 MB
Federal Register NoticePDF - 61.1 KB