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 |
|---|---|---|
| Sep 11, 2002 | Notice to Members 02-58 | SEC Approves Default Procedures Regarding Suspended or Terminated Respondents Who Fail to Answer Arbitration Claims
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| Aug 21, 2002 | Notice to Members 02-53 | NASD Files Proposal to Amend Rule 3070 to Require Filing of Criminal and Civil Complaints and Arbitration Claims with NASD
Revises Letters Sent When Determination Made to Close an Investigation Without Further Action
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| Feb 19, 2002 | Notice to Members 02-16 | NASD Dispute Resolution To Consolidate Western Region March 4, 2002
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| Feb 11, 2002 | Notice to Members 02-13 | SEC Approves Permanent Injunctive Relief Rule
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| Jan 29, 2002 | Notice to Members 02-11 | NASD Dispute Resolution Establishes A New Hearing Location In Orlando, Florida, For Arbitration And Mediation Claims Filed In Its Forum
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| Jan 10, 2002 | Notice to Members 02-07 | NASD Regulation Adopts Interpretive Material Prohibiting Interference With The Transfer Of Customer Accounts In The Context Of Employment Disputes
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| Oct 19, 2001 | Notice to Members 01-70 | SEC Approves Increases To Member Surcharges And Process Fees In NASD Arbitration Proceedings, And Other Amendments To Fee-Related Provisions Of The NASD Code of Arbitration Procedure
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| Oct 10, 2001 | Notice to Members 01-65 | NASD Seeks Comment On Proposed Rules And Policies Relating To Expungement Of Information From The Central Registration Depository
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| May 22, 2001 | Notice to Members 01-36 | NASD Regulation, Inc. Requests Comment On Proposed Interpretive Material IM-2110-7 Regarding Actions That Interfere With The Transfer Of Customer Accounts
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| May 10, 2001 | Notice to Members 01-29 | SEC Approves Amendments To Prohibit Terminated Or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers In The NASD Arbitration Forum
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| Mar 15, 2001 | Notice to Members 01-22 | NASD Regulation Reiterates Member Firm Best Execution Obligations And Provides Guidance To Members Concerning Compliance
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| Feb 06, 2001 | Notice to Members 01-13 | SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
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| Jan 10, 2001 | Notice to Members 01-04 | SEC Approves Amendments To Director's Authority To Remove Arbitrators For Cause
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| Jan 10, 2001 | Notice to Members 01-03 | SEC Approves Early Expiration Of Large And Complex Cases Rule
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| Sep 11, 2000 | Notice to Members 00-64 | SEC Approves Rule Changes To Amend Mediation Fee Structure
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| Sep 11, 2000 | Notice to Members 00-63 | NASD Regulation Provides Guidance On The Use Of Installment Payments To Satisfy Arbitration Awards
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| Aug 10, 2000 | Notice to Members 00-55 | NASD Dispute Resolution Will Require Firms To Certify In Writing That They Have Complied With Arbitration Awards Within 30 Days Of Receipt
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| Apr 10, 2000 | Notice to Members 00-22 | SEC Approves New Voluntary Single Arbitrator Pilot Program For A Two-Year Period
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| Dec 10, 1999 | Notice to Members 99-100 | SEC Approves Creation Of Dispute Resolution Subsidiary And Related By-Laws And Rule Changes
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| Nov 30, 1999 | Notice to Members 99-96 | SEC Approves New Arbitration Disclosure Rule And Procedures For Employment Arbitration
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| Oct 25, 1999 | Notice to Members 99-90 | NASD Regulation Announces New Discovery Guide To Be Used In Arbitration Proceedings
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| Sep 28, 1999 | Notice to Members 99-84 | NASD To Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
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| Jul 01, 1999 | Notice to Members 99-54 | NASD Regulation Seeks Comment On Issues Relating To Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
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| Mar 01, 1999 | Notice to Members 99-23 | SEC Approves New Arbitration Fees
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| Feb 01, 1999 | Notice to Members 99-09 | NASD Regulation Imposes Moratorium On Arbitrator-Ordered Expungements Of Information From The Central Registration Depository
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| Feb 01, 1999 | Notice to Members 99-10 | NASD Guidelines For Compliance With New Requirements For Non-California Attorneys Representing Parties In NASD Arbitrations In California
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| Sep 01, 1998 | Notice to Members 98-74 | SEC Approves Rule Amendment Relating To Hearings On Suspensions And Cancellations For Failure To Comply With Arbitration Awards
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| Jul 01, 1998 | Notice to Members 98-56 | SEC Approves Rule Change Regarding Arbitration Of Statutory Employment Disputes
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| Jul 01, 1998 | Notice to Members 98-61 | NASD Members Face CRD Account Deduction Or Membership Cancellation For Non-payment Of Arbitration Fees
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