For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
View the Rule Filing Status Report.
| Rule Filing Number Sort ascending | Title |
|---|---|
| SR-FINRA-2024-019 | Proposed Rule Change to Adjust FINRA Fees to Provide Sustainable Funding for FINRA's Regulatory Mission |
| SR-FINRA-2024-018 | Proposed Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing |
| SR-FINRA-2024-017 | Proposed Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing |
| SR-FINRA-2024-016 | Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules |
| SR-FINRA-2024-015 | Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question |
| SR-FINRA-2024-014 | Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Implement a Historic CAT Cost Recovery Fee |
| SR-FINRA-2024-013 | Proposed Rule Change to Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Fees for Industry Members Related to Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail |
| SR-FINRA-2024-012 | Proposed Rule Change to Adopt FINRA Rule 6897(b) to Implement a Prospective CAT Cost Recovery Fee |
| SR-FINRA-2024-011 | Proposed Rule Change to Adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to Establish Fees for Industry Members Related to Prospective Costs of the National Market System Plan Governing the Consolidated Audit Trail |
| SR-FINRA-2024-010 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) |
| SR-FINRA-2024-009 | Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) |
| SR-FINRA-2024-008 | Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists |
| SR-FINRA-2024-007 | Proposed Rule Change to Adopt the FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATE)) |
| SR-FINRA-2024-006 | Proposed Rule Change to Amend FINRA Rule 1240.01 |
| SR-FINRA-2024-005 | Proposed Rule Change to Retire the FINRA Rule 10000 Series (Code of Arbitration Procedure) |
| SR-FINRA-2024-004 | Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Reduce the 15-Minute TRACE Reporting Timeframe to One Minute |
| SR-FINRA-2024-003 | Proposed Rule Change to Adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment |
| SR-FINRA-2024-002 | Proposed Rule Change to Adopt FINRA Rule 6897(a) and Supplementary Material to Establish Fees for Industry Members Related to Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail |
| SR-FINRA-2024-001 | Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) |
| SR-FINRA-2023-017 | Proposed Rule Change to Amend FINRA Rules to Conform to Exchange Act Rules 15c6-1 and 15c6-2 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions |
| SR-FINRA-2023-016 | Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Permit Projections of Performance in Institutional Communications and Specified Communications to Qualified Purchasers |
| SR-FINRA-2023-015 | Proposed Rule Change Relating to Dissemination of Information on Individual Transactions in U.S. Treasury Securities and Related Fees |
| SR-FINRA-2023-014 | Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Waiver of the New Member Application Fee for Firms that Must Become FINRA Members Due to Amended Exchange Act Rule 15b9-1 |
| SR-FINRA-2023-013 | Proposed Rule Change to Amend the Codes of Arbitration Procedure and Code of Mediation Procedure to Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations |
| SR-FINRA-2023-012 | Proposed Rule Change to Extend Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to include calendar year 2024 |