SR-NASD-2003-057
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 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").
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 543.59 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 5.15 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 5.95 KB | |
| Federal Register Notice | PDF - 52.2 KB | |
| Amendment No. 3 to Proposed Rule Change | PDF - 16.57 KB | |
| Approval Order | PDF - 50.09 KB |