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-2009-090 | Proposed Rule Change to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-089 | Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services |
| SR-FINRA-2009-088 | Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees |
| SR-FINRA-2009-087 | Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook |
| SR-FINRA-2009-086 | Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-085 | Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility |
| SR-FINRA-2009-084 | Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-083 | Proposed Rule Change to Adopt FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-082 | Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA |
| SR-FINRA-2009-081 | Proposed Rule Change to Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-080 | Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-078 | Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules |
| SR-FINRA-2009-077 | Proposed Rule Change to Restructure Quotation Collection and Dissemination for OTC Equity Securities |
| SR-FINRA-2009-076 | Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings) |
| SR-FINRA-2009-075 | Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes |
| SR-FINRA-2009-074 | Proposed Rule Change to Amend FINRA Rule 9251 (Inspection and Copying of Documents in Possession of Staff) |
| SR-FINRA-2009-073 | Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding |
| SR-FINRA-2009-072 | Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected |
| SR-FINRA-2009-071 | Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules |
| SR-FINRA-2009-070 | Proposed Rule Change to Adopt FINRA Rule 2211 (Communications with the Public About Variable Insurance Products) |
| SR-FINRA-2009-069 | Proposed Rule Change to Impose an Excess Capacity Usage Fee on ADF Trading Centers that Exceed Their Certified Volume Levels Pursuant to a New FINRA ADF Capacity Management Plan |
| SR-FINRA-2009-068 | Proposed Rule Change to Adopt FINRA Rule 11890 Series (Clearly Erroneous Transactions) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-067 | Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-066 | Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-065 | Proposed Rule Change Relating to the Expansion of TRACE to Include Asset-Backed Securities, Mortgage-Backed Securities and Other Similar Securities |