Proposed Rule Change to Amend Form U4, Form U5 and FINRA Rule 8312

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 amend the Uniform Application for Securities Industry Registration or Transfer (“Form U4”) and the Uniform Termination Notice for Securities Industry Registration (“Form U5”), as well as FINRA Rule 8312 (FINRA BrokerCheck Disclosure). The proposed rule change is designed to address regulatory concerns, to ease, clarify or facilitate industry reporting requirements, and to make technical and conforming amendments.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 1012.81 KB
Federal Register NoticePDF - 85.23 KB
Extension No. 1PDF - 23.39 KB
Response to CommentsPDF - 847.42 KB
Amendment No. 1 to Proposed Rule ChangePDF - 51.67 KB
Amendment No. 2 to Proposed Rule ChangePDF - 43.32 KB
Extension No. 2PDF - 23.39 KB
Approval OrderPDF - 93.17 KB