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-NASD-2004-013 | Reorganization and Revision of NASD Mediation Rules |
| SR-NASD-2004-011 | Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes |
| SR-NASD-2004-001 | Proposal to Increase the Fee for Panel Member Training |
| SR-NASD-2003-164 | Three-Day Adjournment Rule |
| SR-NASD-2003-163 | Voluntary Direct Communication Between Parties and Arbitrators |
| SR-NASD-2003-158 | Reorganization and Revision of NASD Rules Relating to Customer Disputes |
| SR-NASD-2003-153 | Amendment to Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested |
| SR-NASD-2003-151 | Online Arbitration Case Filing Pilot Program |
| SR-NASD-2003-144 | Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested |
| SR-NASD-2003-122 | Proposal to Conduct Background Verification and Charge Application Fee for NASD Neutral Roster Applicants |
| SR-NASD-2003-106 | Amendments to Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons; Immediate Effectiveness Requested |
| SR-NASD-2003-101 | Amendment to Rule 10304 of the NASD Code of Arbitration Procedure Governing Time Limits for Submission of Claims in Arbitration |
| SR-NASD-2003-095 | Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification |
| SR-NASD-2003-069 | Proposed Rule Change Regarding Failure to Pay Arbitration Awards |
| SR-NASD-2003-064 | Extension of Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons with Claims of Statutory Employment Discrimination |
| SR-NASD-2003-001 | Refund of Member Surcharges in Arbitration |
| SR-NASD-2002-168 | Proposed Rule 2130 Governing Expungement of Customer Dispute Information From the Central Registration Depository (CRD System) |
| SR-NASD-2002-126 | Pilot Amendment to IM-10100 Arbitration Code Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards |
| SR-NASD-2002-112 | Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD |
| SR-NASD-2002-062 | Amending Code of Arbitration Procedure to Conform Rule 10314(b) to the Current Minimum Standard Applicable to Claims |
| SR-NASD-2002-038 | Replacement of Arbitrator Under Rule 10313 Upon Disqualification or Other Disability of an Arbitrator |
| SR-NASD-2002-015 | Default Procedures for Claims against Terminated Members and Associated Persons |
| SR-NASD-2001-062 | Amendment to NASD Code of Arbitration Procedure Rule 10333 Relating to Member Surcharges, and Hearing and Prehearing Process Fees; Immediate Effectiveness Requested; and Notice of Withdrawal of SR-NASD-2001-52 |
| SR-NASD-2001-021 | Amendments to NASD Code of Arbitration Procedure to Modify Certain Provisions Relating to the Assessment and Payment of Fees |
| SR-NASD-2001-008 | Proposal to Limit Enforcement of Predispute Arbitration Agreements by Terminated or Suspended Members |