Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5

NASDR has filed with the SEC a proposed rule change to add a new Membership Rule that would provide members of the National Association of Securities Dealers, Inc. with a qualified immunity in arbitration proceedings for statements made in good faith in certain disclosures filed with the NASD on Forms U-4 and U-5, the uniform registration and termination notices for registered persons.

TitleFormat - SizeStatus
Withdrawal of proposed rule changePDF - 78.98 KB