*Letters

NYSE U5 Proposal

Published on:
October 19, 2016

SIFMA provided comments to the Securities and Exchange Commission (SEC) on proposals to change the filing time for Form U5s from within 10 days of the date of termination of an employee to a requirement that the Form U5 be filed promptly but not later than 30 calendar days after the date of termination.

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Update an Individual’s Registration

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