Comments on NASD Rulemaking

Notice of Filing of Proposed Rule Change, Amendment No. 1, and Amendment No. 2 Thereto by the National Association of Securities Dealers, Inc. 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)

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Date Received
Date Letter Type Commenter Name
Public Comment Dan Jamieson
Public Comment Mario Di Trapani, President, Association of Registration Management

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NASD-2003-57
Release Number
34-47936
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