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.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 606.61 KB
Notice of Filing and Immediate EffectivenessPDF - 204.43 KB