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Regulatory Release

Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)

Details

Rule Type

Notice

Release Number

34-47936

SEC Issue Date

May 28, 2003 | 3:16 pm ET

Federal Register Publish Date

June 4, 2003 | 12:23 am ET

Document Citation

68 FR 33545

Resources

Rel. No. 34-47936

Federal Register Version

SRO Organization

National Association of Securities Dealers (NASD)

Last Reviewed or Updated: Dec. 30, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)

Details

Resources

More in this Section

Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto Relating to Revisions to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5)

Details

Resources