Thursday, March 26, 2009

FINRA Proposes Amendments to Form U4, U5 and FINRA Rule 8312

The Financial Industry Regulatory Authority ("FINRA") proposed rule changes to Form U4 , Uniform Application for Securities Industry Registration or Transfer, Form U5, Uniform Termination Notice for Securities Industry Registration, and FINRA Rule 8312 ("Broker-Dealer Disclosure).

The
proposed rule changes address regulatory concerns, ease, clarify or facilitate industry reporting requirements, and make technical and conforming amendments.

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