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-FINRA-2014-041 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2014-040 | Proposed Rule Change to Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032 |
| SR-FINRA-2014-039 | Proposed Rule Change to Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050 |
| SR-FINRA-2014-038 | Proposed Rule Change to Adopt FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the Consolidated FINRA Rulebook |
| SR-FINRA-2014-037 | Proposed Rule Change to Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar) |
| SR-FINRA-2014-036 | Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings |
| SR-FINRA-2014-035 | Proposed Rule Change to Revise the Series 24 Examination Program |
| SR-FINRA-2014-034 | Proposed Rule Change to Revise the Series 23 Examination Program |
| SR-FINRA-2014-033 | Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070 |
| SR-FINRA-2014-032 | Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports |
| SR-FINRA-2014-031 | Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers |
| SR-FINRA-2014-030 | Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service |
| SR-FINRA-2014-029 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2014-028 | Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator |
| SR-FINRA-2014-027 | Proposed Rule Change Relating to Options Exercise Procedures |
| SR-FINRA-2014-026 | Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees |
| SR-FINRA-2014-025 | Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| SR-FINRA-2014-024 | Proposed Rule Change Relating to the Definition of “Reporting Member” in the Order Audit Trail System Rules |
| SR-FINRA-2014-023 | Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook |
| SR-FINRA-2014-022 | Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046 |
| SR-FINRA-2014-021 | Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2014-020 | Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information) |
| SR-FINRA-2014-019 | Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement. |
| SR-FINRA-2014-018 | Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website |
| SR-FINRA-2014-017 | Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems |