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-2009-058 | Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-057 | Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment |
| SR-FINRA-2009-056 | Proposed Rule Change Relating to Fee for Investment Banking Representative Examination |
| SR-FINRA-2009-055 | Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook |
| SR-FINRA-2009-054 | Proposed Rule Change to Adopt FINRA Rules 6434, 6437, 6450 and 6460 |
| SR-FINRA-2009-053 | Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE |
| SR-FINRA-2009-052 | Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-051 | Proposed Rule Change Relating to the Use of Multiple Market Participant Symbols When Quoting or Trading OTC Equity Securities |
| SR-FINRA-2009-050 | Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure) |
| SR-FINRA-2009-049 | Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Limited Representative – Investment Banking (“Series 79”) Examination Program |
| SR-FINRA-2009-048 | Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-047 | Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-046 | Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules |
| SR-FINRA-2009-045 | Proposed Rule Change to Clarify the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility Pursuant to FINRA Rule 7710 |
| SR-FINRA-2009-044 | Proposed Rule Change to Adopt FINRA Rules 2262, 2269 and 5260 in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-043 | Proposed Rule Change Relating to the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility |
| SR-FINRA-2009-042 | Proposed Rule Change to Adopt FINRA Rule 3270 (Outside Business Activities of Registered Persons) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-041 | Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim |
| SR-FINRA-2009-040 | Proposed Rule Change to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions |
| SR-FINRA-2009-039 | Proposed Rule Change to Adopt FINRA Rule 3310 Anti-Money Laundering Compliance Program in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-038 | Proposed Rule Change to Repeal Incorporated NYSE Rules 134 and 440I as Part of the Process to Develop the Consolidated FINRA Rulebook |
| SR-FINRA-2009-037 | Proposed Rule Change to Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order) |
| SR-FINRA-2009-036 | Proposed Rule Change to Adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-035 | Proposed Rule Change to Adopt FINRA’s Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis |
| SR-FINRA-2009-034 | Proposed Rule Change to Extend FINRA’s Authority Under the Cease and Desist Pilot Program |