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-2011-074 | Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities |
| SR-FINRA-2011-073 | Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee |
| SR-FINRA-2011-072 | Proposed Rule Change to Extend a TRACE Pilot Program |
| SR-FINRA-2011-071 | Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities |
| SR-FINRA-2011-070 | Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information) |
| SR-FINRA-2011-069 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced |
| SR-FINRA-2011-068 | Proposed Rule Change to Amend FINRA Rule 6121.01 (Trading Pauses) |
| SR-FINRA-2011-067 | Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration |
| SR-FINRA-2011-066 | Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade |
| SR-FINRA-2011-065 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
| SR-FINRA-2011-064 | Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports |
| SR-FINRA-2011-063 | Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules |
| SR-FINRA-2011-062 | Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction) |
| SR-FINRA-2011-061 | Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions |
| SR-FINRA-2011-060 | Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional) |
| SR-FINRA-2011-059 | Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook |
| SR-FINRA-2011-058 | Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2011-057 | Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities) |
| SR-FINRA-2011-056 | Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced” |
| SR-FINRA-2011-055 | Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks |
| SR-FINRA-2011-054 | Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) |
| SR-FINRA-2011-053 | Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules |
| SR-FINRA-2011-052 | Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and IM-2320 as FINRA Rule 5310 in the Consolidated FINRA Rulebook |
| SR-FINRA-2011-051 | Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems |
| SR-FINRA-2011-050 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules |