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Notice Rule

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of the Revised Uniform Application for Securities Industry Registration or Transfer (Form U4) and Revised Uniform Termination Notice for Securities Industry Registration (Form U5)

National Securities Exchanges, New York Stock Exchange LLC (NYSE)

Last Reviewed or Updated: March 19, 2026

Resources

Notice Rule: SEC Issued Version (pdf 37.14 KB)

Details

Public Comments Due

Sept. 21, 2006

File Number

SR-NYSE-2006-53

Rule Type

Notice

Release Number

34-54359

SEC Issue Date

Aug. 24, 2006

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of the Revised Uniform Application for Securities Industry Registration or Transfer (Form U4) and Revised Uniform Termination Notice for Securities Industry Registration (Form U5)

Resources

Details

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Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of the Revised Uniform Application for Securities Industry Registration or Transfer (Form U4) and Revised Uniform Termination Notice for Securities Industry Registration (Form U5)

Resources

Details