• SEC Approves Revisions to Forms U4 and U5 and FINRA Rule 8312
  • July 24, 2009 | Author: Craig F. Zappetti
  • Law Firm: Saul Ewing LLP - Philadelphia Office
  • On May 13, 2009, the Securities and Exchange Commission ("SEC") approved amendments to Forms U-4 (Uniform Application for Securities Industry Registration or Transfer) and U-5 (Uniform Termination Notice for Securities Industry Registration) and FINRA Rule 8312 (FINRA BrokerCheck Disclosure).