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-2007-028 | Revisions to the Series 24 Examination Program |
| SR-NASD-2007-028 | Proposed Rule Change to Amend Rules 6951 and 6954 Regarding the Order Audit Trail System |
| SR-FINRA-2007-027 | Revisions to the Series 23 Examination Program |
| SR-NASD-2007-027 | Temporary Program to Allow Member Firms to Voluntarily Submit Accumulated Funds to NASD |
| SR-FINRA-2007-026 | Proposed Rule Change to Adopt a FINRA Policy to Expand Disseminated Transaction Reporting and Compliance Engine ("TRACE") Data |
| SR-NASD-2007-026 | Proposed Amendment to the Customer, Industry and Mediation Codes to Implement Technical Changes to the Three New Codes Prior to the Effective Date of the Customer and Industry Codes |
| SR-FINRA-2007-025 | Proposed Rule Change to Amend FINRA's NYSE Rules 421, 440F and 440G to Conform with Changes by the NYSE to its Versions of Rules 421, 440F and 440G |
| SR-NASD-2007-025 | Proposed Rule Change to Adopt New NASD Rule 7000E Series Relating to the NASD/NYSE Trade Reporting Facility |
| SR-FINRA-2007-024 | Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning |
| SR-NASD-2007-024 | Technical Amendment to Rule 2520 (Margin Requirements) |
| SR-FINRA-2007-023 | Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146 |
| SR-NASD-2007-023 | Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. |
| SR-FINRA-2007-022 | Proposed Amendment to FINRA's NYSE Rule 342.13 Regarding the Series 9/10 and Series 24 Examinations |
| SR-NASD-2007-022 | The Proposed Rule Change Amends the NASD Code of Mediation Procedure. The Proposal is Concerned Solely with the Administration of NASD in That it Renumbers the Rules, Updates Cross References, and Reinserts Rule Language That had Been Reserved |
| SR-FINRA-2007-021 | The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals |
| SR-NASD-2007-021 | The Proposal Amends the Definition of Public Arbitrator under the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Add an Annual Revenue Limitation |
| SR-FINRA-2007-020 | Proposed Rule Change to Amend NASD Rule 2210 to Create an Exception from the Principal Approval Requirements for Certain Filed Sales Material |
| SR-NASD-2007-020 | Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e) |
| SR-FINRA-2007-019 | Proposed Rule Change to Amend the Definition of Member Organization in FINRA NYSE Rule 2 |
| SR-NASD-2007-019 | Proposed Rule Change to Revise the Effective Date of Amendments to NASD's Order Audit Trail System Rules |
| SR-FINRA-2007-018 | Proposed Rule Change Relating to Dissemination of Trade Reports for OTC ADRs and Canadian Issues |
| SR-NASD-2007-018 | Proposed Rule Change to Amend the NASD Rule 7000 Series to Delete References to Systems and Services That Will No Longer Be Provided by NASD |
| SR-FINRA-2007-017 | Proposed Rule Change to Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA |
| SR-NASD-2007-017 | Proposed Rule Change to Amend NASD Rule 7010A Relating to the Alternative Display Facility Quotation Update Fee |
| SR-FINRA-2007-016 | Proposed Rule Change to Reflect the Closing of the NASD/BSE Trade Reporting Facility |