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-2001-006 | Amendment to Composition of NASD Board |
| SR-NASD-2000-065 | Proposed Amendments to Rule 10334 (Large and Complex Case Rule) to Accelerate Expiration of the Rule from August 1, 2002 to December 31, 2000 - Immediate Effectiveness Requested. |
| SR-NASD-2000-034 | Amendments to Rules 10308 and 10312 Concerning the Authority of the Director of Arbitration to Remove Arbitrators for Cause |
| SR-NASD-2000-011 | Proposed Rule Change Relating to Mediation Fee Structure |
| SR-NASD-2000-002 | Amendments to NASD Code of Arbitration Procedure Rules 10335 and 10205(h) Relating to Injunctive Relief |
| SR-NASD-1999-054 | Implementation of Single Arbitrator Pilot Program |
| SR-NASD-1999-008 | Amendments to Code of Arbitration Procedure Relating to the Arbitration Process for Claims of Employment Discrimination |
| SR-NASD-1999-021 | Creation of a Separate Subsidiary to Administer Dispute Resolution Programs |
| SR-NASD-1999-019 | Amendments to IM-10100 to Facilitate Use of Non-SRO Arbitration Forums |
| SR-NASD-1999-007 | Development of a Discovery Guide |
| SR-NASD-1998-091 | Amendment to Time Period for Filing Information Requests in Arbitration |
| SR-NASD-1998-074 | Amendments to Rule 3110(f) Governing Predispute Arbitration Agreements With Customers |
| SR-NASD-1998-064 | Arbitrator List Selection Method for Intra-Industry Disputes |
| SR-NASD-1998-048 | Proposed Rule Change to Amend the Method of Selecting Arbitrators in Customer Disputes |
| SR-NASD-1998-018 | Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5 |
| SR-NASD-1998-007 | Amendment to Rule 10314 to Extend the Time to Answer Arbitration Complaints |
| SR-NASD-1998-004 | Change to Policy on Accepting Claims for Arbitration Involving Exempted Securities |
| SR-NASD-1997-077 | Proposed Rule Change to Rule 10201 Regarding Arbitration of Employment Discrimination Claims |