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-2008-032 | Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-031 | Proposed Rule Change will Amend the Uniform Submission Agreement |
| SR-FINRA-2008-030 | Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-029 | Proposed Rule Change to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G, and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook |
| SR-FINRA-2008-028 | Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-027 | Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-026 | Proposed Rule Change to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-025 | Proposed Rule Change to Adopt NASD Rule 2790 as FINRA Rule 5130 in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-024 | Proposed Rule Change to Amend the Discovery Guide to Update the Document Production Lists |
| SR-FINRA-2008-023 | Proposed Rule Change to Amend NASD IM-9216 to Expand the FINRA Minor Rule Violation Plan |
| SR-FINRA-2008-022 | Proposed Rule Change to Amend NASD IM-1013-1 to Address the Applicability of the Consolidated FINRA Rules to Firms That Became FINRA Members Pursuant to IM-1013-1 |
| SR-FINRA-2008-021 | Proposed Rule Change to Adopt NASD Rules 4000 Through 10000 Series and the 12000 Through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook |
| SR-FINRA-2008-020 | Proposed Rule Change to Adopt a New FINRA Rule 5122 to Impose Requirements Regarding Member Private Offerings |
| SR-FINRA-2008-019 | Proposed Rule Change to Amend Certain Provisions of Rule 2821 |
| SR-FINRA-2008-018 | Proposed Rule Change to Amend Incorporated NYSE Rules to Delete References to Certain Fees and to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add Fees Charged for the Series 14 and Series 16 Examinations |
| SR-FINRA-2008-017 | Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws |
| SR-FINRA-2008-016 | Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for Over-the-Counter (OTC) Equity Transactions Involving Foreign Securities With all Other OTC Equity Securities |
| SR-FINRA-2008-015 | Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183 |
| SR-FINRA-2008-014 | Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms That are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed |
| SR-FINRA-2008-013 | Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications |
| SR-FINRA-2008-012 | Proposed Rule Change to Amend Incorporated NYSE Rule Interpretation 344/02 |
| SR-FINRA-2008-011 | Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions |
| SR-FINRA-2008-010 | Proposed Rule Change to Adopt Rule 12805 of the Customer Code and Rule 13805 of the Industry Code to Establish New Procedures for Arbitrators to Follow when Considering Expungement Relief |
| SR-FINRA-2008-009 | Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements |
| SR-FINRA-2008-008 | Proposed Rule Change to NASD Rule 1013 to Change the Manner in Which Applicants Apply for Membership |