Amendments to Forms U-4 and U-5

NASDR has filed with the SEC a proposed rule change to amend the Form U-4, the Uniform Application for Securities Industry Registration or Transfer, and the Form U-5, the Uniform Termination Notice for Securities Industry Termination.

DateTitleFormat - SizeStatus
12/18/1998Text of Proposed Rule ChangePDF - 72.34 KB
7/2/1999Approval OrderPDF - 38.29 KB
3/29/1999Amendment No. 1 to Proposed Rule ChangePDF - 10.52 KB
4/7/1999Amendment No. 2 to Proposed Rule ChangePDF - 2.73 KB
4/15/1999Amendment No. 3 to Proposed Rule ChangePDF - 2.62 KB
4/28/1999Amendment No. 4 to Proposed Rule ChangePDF - 11.43 KB
6/7/1999Amendment No. 5 to Proposed Rule ChangePDF - 2.75 KB
6/18/1999Response to SEC Request for InformationPDF - 31.28 KB
4/30/1999Federal Register NoticePDF - 42.94 KB
5/13/1999Federal Register Notice - Filing of Amendment No. 4PDF - 20.6 KB