Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens

Financial Industry Regulatory Authority, Inc. ("FINRA") 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") with respect to the reporting of unsatisfied judgments and liens.

DateTitleFormat - SizeStatus
8/13/2013Text of Proposed Rule ChangePDF - 606.61 KB
8/23/2013Notice of Filing and Immediate EffectivenessPDF - 204.43 KB