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.
Below is a listing of Regulatory Notices for which FINRA has requested and received comments.
| Date Sort ascending | Title | Description |
|---|---|---|
| Jun 28, 2006 | Notice to Members 06-31 | NASD Requests Comment on Regulatory Relief that Should Be Granted in Response to a Possible Pandemic or Other Major Business Disruption
Comment Period Expires September 15, 2006
The comment period was extended to September 15, 2006. |
| May 10, 2006 | Notice to Members 06-22 | NASD Requests Comment on Publicly Disseminating in TRACE Information Whether a Transaction was Inter-Dealer or Dealer-Customer and, in Dealer-Customer Transactions, Whether the Broker-Dealer was a Buyer or Seller
Comment Period Expires June 15, 2006
|
| Jan 23, 2006 | Notice to Members 06-06 | NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment
Comment Period Expires February 23, 2006; Comment Period extended to March 3, 2006
The comment period was extended to March 3, 2006. |
| Sep 30, 2005 | Notice to Members 05-63 | NASD Seeks Comment on Increasing the Frequency of Short Interest Reporting
Comment Period Expired November 29, 2005
|
| Sep 16, 2005 | Notice to Members 05-61 | NASD Solicits Member Comment on Possible Realignment of the Trading Activity Fee
Comment Period Expired October 31, 2005
|
| May 09, 2005 | Notice to Members 05-40 | NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities Comment Period Expired August 5, 2005
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| Apr 13, 2005 | Notice to Members 05-27 | NASD Requests Comment on Proposal to Require Principal Pre-Use Approval of Member Correspondence to 25 or More Existing Retail Customers within a 30-Calendar-Day Period (Comment Period Expired May 27, 2005)
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| Apr 06, 2005 | Notice to Members 05-25 | NASD Requests Comment on Proposal to Require Pre-Use Filing of Advertisements and Sales Literature for New Types of Securities and of Television, Video and Radio Advertisements (Comment Period Expired May 20, 2005)
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| Mar 17, 2005 | Notice to Members 05-21 | NASD Requests Comment on Proposed Rule Requiring Members to Provide Additional Disclosures for Transactions in Debt Securities
|
| Feb 04, 2005 | Notice to Members 05-11 | NASD Issues Further Guidance Regarding Members' Obligations under Section 3 of Schedule A to the NASD By-Laws
NASD Also Seeks Member Comment on Related Automation Issues; (Comment Period Expired March 30, 2005)
|
| Nov 11, 2004 | Notice to Members 04-83 | NASD Requests Comment on Whether to Propose New Rule That Would Address Conflicts of Interest When Members Provide Fairness Opinions in Corporate Control Transactions (Comment Period Expired January 10, 2005)
Note: The comment period was extended to February 1, 2005. |
| Nov 09, 2004 | Notice to Members 04-80 | NASD Seeks Comment on Proposed Changes to the OATS Rules (Comment Period Expired January 20, 2005)
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| Oct 12, 2004 | Notice to Members 04-75 | NASD Seeks Comment on Enhanced Disclosure for Subordination Agreements
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| Aug 04, 2004 | Notice to Members 04-55 | NASD Requests Comment on a Proposed Uniform Branch Office Registration Form
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| Jun 09, 2004 | Notice to Members 04-45 | NASD Seeks Comment on Proposed Rule to Impose Specific Sales Practice Standards and Supervisory Requirements on Members for Transactions in Deferred Variable Annuities
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| Mar 17, 2004 | Notice to Members 04-23 | NASD Seeks Comment On (1) Amending its Minor Rule Violation Plan to Include Failure Timely to Submit Amendments to the Uniform Termination Notice for Securities Industry Registration (Form U5)
and (2) Adopting a Rule to Create an Inactive Disclosure
|
| Feb 03, 2004 | Notice to Members 04-07 | NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs) (This version corrects certain administrative and other non-substantive text)
Comment Period Expired March 12, 2004
This version corrects certain administrative and other non-substantive text. |
| Dec 09, 2003 | Notice to Members 03-77 | NASD Requests Comment on Proposed Amendments to Rules 2210 (Communications With the Public) and 2211 (Institutional Sales Material)
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| Dec 04, 2003 | Notice to Members 03-76 | Access to Information Available Under Interpretive Material 8310-2
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