SR-NASD-1998-096
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.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 72.34 KB | |
| Approval Order | PDF - 38.29 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 10.52 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 2.73 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 2.62 KB | |
| Amendment No. 4 to Proposed Rule Change | PDF - 11.43 KB | |
| Amendment No. 5 to Proposed Rule Change | PDF - 2.75 KB | |
| Response to SEC Request for Information | PDF - 31.28 KB | |
| Federal Register Notice | PDF - 42.94 KB | |
| Federal Register Notice - Filing of Amendment No. 4 | PDF - 20.6 KB |