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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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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-2024-022 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection Process |
| SR-FINRA-2024-021 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on their Age or Health Condition |
| 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-2024-008 | Proposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production Lists |
| SR-FINRA-2024-005 | Proposed Rule Change to Retire the FINRA Rule 10000 Series (Code of Arbitration Procedure) |
| 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-2022-033 | Proposed Rule Change to Amend the Codes of Arbitration Procedure |
| SR-FINRA-2022-026 | Proposed Rule Change to Change References in the Codes of Arbitration Procedure from the Neutral List Selection System to the List Selection Algorithm |
| SR-FINRA-2022-024 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Modify the Current Process relating to the Expungement of Customer Dispute Information |
| SR-FINRA-2022-012 | Proposed Rule Change to Amend the Code of Arbitration Procedure for Industry Disputes (“Code”) to Align the Code with the Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021 |
| SR-FINRA-2020-039 | Proposed Rule Change to Amend FINRA Rules to Reflect Name Changes to Two FINRA Departments: the Office of Dispute Resolution and the Department of Registration and Disclosure |
| SR-FINRA-2020-035 | Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees |
| SR-FINRA-2020-030 | Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests |
| SR-FINRA-2020-005 | Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information |
| SR-FINRA-2019-030 | Proposed Rule Change to Amend the Membership Application Program (“MAP”) Rules to Address the Issue of Pending Arbitration Claims |
| SR-FINRA-2019-027 | Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive |
| SR-FINRA-2019-004 | Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents |
| SR-FINRA-2018-043 | Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents |
| SR-FINRA-2018-026 | Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance |
| SR-FINRA-2018-019 | Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference |
| SR-FINRA-2018-012 | Proposed Rule Change to Eliminate the Fee for an Explained Decision |
| SR-FINRA-2018-003 | Proposed Rule Filing Relating to Simplified Arbitration |
| SR-FINRA-2017-025 | Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator |
| SR-FINRA-2017-017 | Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution) |
| SR-FINRA-2017-009 | Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration |