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SEC Approves FINRA Rule Changes to Forms U4 and U5 and FINRA Rule 8312
Practical Law Legal Update 5-386-1150 (Approx. 2 pages)
SEC Approves FINRA Rule Changes to Forms U4 and U5 and FINRA Rule 8312
by PLC Corporate & Securities
| Published on 15 May 2009 • USA (National/Federal) |
An update on the Financial Industry Regulatory Authority, Inc.'s (FINRA) changes to Forms U4 and U5 and FINRA Rule 8312 (BrokerCheck Disclosure).