With Ernest Badway, William Dailey, Joshua Horn, Joseph Pastore, III
Broker-dealers must comply by November 14, 2009, with the changes to the Uniform Application for Securities Industry Registration orTransfer (Form U4) and Uniform Termination Notice for Securities Industry Registration (Form U5) that went into effect on May 18, 2009, as part of the ongoing effort to encourage transparency in the financial services market while balancing the rights of the registered representatives.