SR-NASD-2002-005

Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)

NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend the Uniform Application for Securities Industry Registration or Transfer ("Form U-4") and the Uniform Termination Notice for Securities Industry Termination ("Form U-5") (collectively the "Forms") and NASD Interpretive Material ("IM") 8310-2.

DateTitleFormat - SizeStatus
1/8/2001Text of proposed rule changePDF - 87.49 KB
1/22/2002Amendment No. 1 to Proposed Rule ChangePDF - 5.47 KB
1/22/2002Amendment No. 2 to Proposed Rule ChangePDF - 4.99 KB
2/7/2002Federal Register NoticePDF - 64.94 KB
2/27/2002Amendment No. 3 to Proposed Rule ChangePDF - 15.38 KB
3/14/2002Approval OrderPDF - 34.32 KB