Technical Amendments to Rule 3080 Regarding Disclosures to Associated Persons When Signing Form U-4

NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3080 (Disclosures to Associated Persons When Signing Form U-4) to correct the reference to the name of the Form U4 (Uniform Application For Securities Industry Registration or Transfer) and the location of the predispute arbitration clause in the Form U4.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 48.61 KB
Notice of Filing and Immediate EffectivenessPDF - 56.28 KB