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.
| Date Sort ascending | Title | Description |
|---|---|---|
| Apr 01, 2010 | Regulatory Notice 10-16 | Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
Effective Date: May 3, 2010
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| Apr 01, 2010 | Regulatory Notice 10-17 | Amendments to the Arbitration Rules on Hearing Locations
Effective Date: May 3, 2010
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| Feb 19, 2010 | Regulatory Notice 10-11 | Amendments to the Arbitration Rules Regarding Deficient Claims
Effective Date: March 22, 2010
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| Dec 18, 2009 | Regulatory Notice 09-74 | SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Effective Date: January 18, 2010
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| Aug 14, 2009 | Regulatory Notice 09-48 | SEC Approves Rule Establishing Expedited Procedures for Arbitrating Promissory Note Cases
Effective Date: September 14, 2009
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| Jul 31, 2009 | Regulatory Notice 09-43 | SEC Approves Amendments to the Panel Composition Rules of the Arbitration Code for Industry Disputes
Effective Date: August 31, 2009
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| Jul 10, 2009 | Regulatory Notice 09-36 | SEC Approves an Amendment to the Tolling Provision in the Arbitration Codes for Customer and Industry Disputes
Effective Date: August 10, 2009
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| May 15, 2009 | Regulatory Notice 09-23 | SEC Approval of Proposed Changes to Forms U4 and U5 and FINRA Rule 8312 (FINRA BrokerCheck Disclosure)
Effective Date: May 18, 2009; Effective Date (Regulatory Action Disclosure Questions): November 14, 2009
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| Mar 01, 2009 | Regulatory Notice 09-16 | SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
Effective Date: April 13, 2009
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| Feb 27, 2009 | Regulatory Notice 09-13 | SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
Effective Date: March 30, 2009
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| Feb 18, 2009 | Regulatory Notice 09-12 | Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
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| Jan 23, 2009 | Regulatory Notice 09-07 | SEC Approves New Motion to Dismiss Rule and Amendment to the Eligibility Rule in Arbitration
Effective Date: January 23, 2009
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| Jan 09, 2009 | Regulatory Notice 09-04 | SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes
Effective Date: February 9, 2009
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| Dec 15, 2008 | Regulatory Notice 08-79 | SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Effective Date: January 26, 2009
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| Oct 24, 2008 | Regulatory Notice 08-62 | SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases Effective Date: November 24, 2008
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| Aug 25, 2008 | Regulatory Notice 08-45 | FINRA to Deduct All Delinquent Arbitration and Mediation Fees from CRD Accounts
Effective Date: September 22, 2008
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| Aug 22, 2008 | Regulatory Notice 08-44 | SEC Approves a Proposed Rule Change to Amend the Chairperson Eligibility Requirements in the Arbitration Codes for Customer and Industry Disputes
Effective Date: September 22, 2008
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| May 09, 2008 | Regulatory Notice 08-22 | SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes
Effective June 9, 2008
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| Nov 23, 2007 | Regulatory Notice 07-57 | SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
Effective Date: December 24, 2007
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| Mar 02, 2007 | Notice to Members 07-13 | SEC Approves Amendments to NASD Code of Arbitration Procedure Concerning Subpoenas and Payment of Arbitrators
Effective Date: April 2, 2007
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| Feb 15, 2007 | Notice to Members 07-07 | SEC Approves Revision of Customer and Industry Portions of NASD Code of Arbitration Procedure
Effective Date: April 16, 2007
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| Nov 15, 2006 | Notice to Members 06-64 | SEC Approves Amendments to Rule 10308 Regarding the Classification of Arbitrators
Effective Date: January 15, 2007
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| Sep 05, 2006 | Notice to Members 06-49 | NASD to Close Mid-Atlantic Dispute Resolution Office October 6, 2006
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| Dec 30, 2005 | Notice to Members 05-85 | SEC Approves a Proposed Rule Change to Revise the Mediation Rules of the NASD Code of Arbitration Procedure
Effective January 30, 2006
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| Dec 21, 2005 | Notice to Members 05-82 | SEC Approves Amendments to Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims
Effective Date: January 17, 2006
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| Aug 26, 2005 | Notice to Members 05-55 | SEC Approves Amendments to IM-10104 to Provide Payment to Arbitrators for Deciding Discovery-Related Motions
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| May 06, 2005 | Notice to Members 05-36 | SEC Approves New Interpretive Material to Rule 10308 Regarding Arbitrators Who Also Serve as Mediators
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| May 05, 2005 | Notice to Members 05-35 | SEC Approves Amendments to IM-10104 and Rule 10315 to Permit Arbitrations in Foreign Hearing Locations
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| Apr 27, 2005 | Notice to Members 05-32 | SEC Approves Amendments to NASD Rule Governing Predispute Arbitration Agreements with Customers
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| Jan 31, 2005 | Notice to Members 05-09 | NASD Amends Rule Governing Predispute Arbitration with Customers (The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005.)
The compliance date of new Rule 3110(f)(1) requirements has been extended to June 1, 2005. See the SEC's release at: http://www.sec.gov/rules/sro/nasd/34-51526.pdf |
| Jan 31, 2005 | Notice to Members 05-10 | NASD Amends Rule Governing Time Limits for Submission of Arbitration Claims
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| Aug 17, 2004 | Notice to Members 04-62 | SEC Approves New Rule 10334 To Allow Direct Communication Between Parties and Arbitrators
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| Aug 13, 2004 | Notice to Members 04-60 | SEC Approves Increase to the Arbitrator Panel Training Fee
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| Aug 09, 2004 | Notice to Members 04-57 | NASD Extends Jurisdiction to Suspend Formerly Associated Persons Who Fail to Pay Arbitration Awards
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| Aug 05, 2004 | Notice to Members 04-56 | SEC Approves Amendments to Rule 10314 to Implement the Online Arbitration Claim Filing System
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| Jul 16, 2004 | Notice to Members 04-53 | SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings
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| Jun 18, 2004 | Notice to Members 04-49 | SEC Approves Amendments to Rules 10308 and 10312 Regarding Arbitrator Classification, Disclosures, and Challenges
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| Jun 02, 2004 | Notice to Members 04-43 | Members' Use of Affidavits in Connection with Stipulated Awards and Settlements to Obtain Expungement of Customer Dispute Information under Rule 2130
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| Jun 02, 2004 | Notice to Members 04-44 | Impermissible Confidentiality Provisions and Complaint Withdrawal Provisions in Settlement Agreements
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| Mar 04, 2004 | Notice to Members 04-16 | NASD Adopts Rule 2130 Regarding Expungement of Customer Dispute Information From The Central Registration Depository
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| Feb 23, 2004 | Notice to Members 04-11 | NASD Reminds Members and Associated Persons of Their Duty to File Uniform Submission Agreements
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| Nov 06, 2003 | Notice to Members 03-70 | NASD Reminds Members of Their Duty to Cooperate in Arbitration Discovery Process
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| Oct 15, 2003 | Notice to Members 03-64 | New Arbitrator Applicants Must Undergo Background Verification and Pay Fee
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| May 15, 2003 | Notice to Members 03-25 | Waiver Program for Parties in California Arbitration Proceedings has Been Extended to September 30, 2003
New Waiver Agreement Form
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| Apr 21, 2003 | Notice to Members 03-23 | SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims
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| Jan 15, 2003 | Notice to Members 03-06 | NASD to Refund Arbitration Member Surcharge Under Certain Circumstances
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| Jan 10, 2003 | Notice to Members 03-04 | NASD Solicits Vote on Amendments to the NASD By-Laws Concerning the Definition of Disqualification and Failure to Pay Arbitration Awards
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| Jan 01, 2003 | Notice to Members 03-03 | NASD Dispute Resolution Relocates Its New York City Headquarters and Regional Office
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| Jan 01, 2003 | Notice to Members 03-02 | NASD Dispute Resolution Establishes a New Hearing Location in Puerto Rico
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| Oct 01, 2002 | Notice to Members 02-68 | in California arbitration proceedings must waive contested California arbitrator disclosure standards if all parties who are investors, or associated persons with claims of statutory employment discrimination, have executed waiver agreements
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