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.
| Title | Format - Size | Status |
|---|---|---|
| Text of proposed rule change | PDF - 87.49 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 5.47 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 4.99 KB | |
| Federal Register Notice | PDF - 64.94 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 15.38 KB | |
| Approval Order | PDF - 34.32 KB |