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-2007-003 | Proposed Rule Change to Amend NASD Rules 4632C, 6130C and 6130 |
| SR-NASD-2007-003 | Proposed Rule Change to Adopt New NASD Rule 7000D Series Relating to Fees and Credits for the NASD/BSE Trade Reporting Facility |
| SR-FINRA-2007-002 | Proposed Amendment of Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits |
| SR-NASD-2007-002 | Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent with the New Requirements of Regulation NMS |
| SR-FINRA-2007-001 | Proposed Rule Change to Amend NASD Rule 6952 to Exclude Certain Orders and Transactions in Foreign Equity Securities from the Order Audit Trail System Recording and Reporting Requirements |
| SR-NASD-2007-001 | Proposed Rule Change to Amend NASD Rules 4130A, 4300A, 4613A, 4617A, and 4632A Regarding the Alternative Display Facility |
| SR-NASD-2006-137 | Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS CAES System and Inet Facility, Which are Currently Operated by The Nasdaq Stock Market, Inc. and its Subsidiaries as Facilities of NASD |
| SR-NASD-2006-136 | The Proposed Rule Change Removes Unnecessary Cross References and Corrects a Grammatical Error in Rule 10308(a)(5)(B) |
| SR-NASD-2006-135 | Proposal Relating to Implementation of Certain Approved Rule Changes Reflecting the Complete Separation of Nasdaq from NASD |
| SR-NASD-2006-134 | Proposed Rule Change Extending the Pilot Relating to the Price-Improvement Standards for Decimalized Securities in IM-2110-2 |
| SR-NASD-2006-131 | Proposed Rule Change to Increase the Frequency of the Short Interest Reporting Requirements Under Rule 3360 |
| SR-NASD-2006-129 | Proposed Rule Change to Amend Rule 6130C of the NASD/NSX Trade Reporting Facility Rules to Require Use of a Special Indicator Denoting That Certain Transactions are Reported in Accordance with Section 3 of Schedule A to the NASD By-Laws |
| SR-NASD-2006-128 | Proposed Rule Change to Establish a New Effective Date For Amendments to NASD Rule 2340 |
| SR-NASD-2006-127 | Proposed Rule Change to Adopt New NASD Rule 7000C Series Relating to Fees and Credits for the NASD/NSX Trade Reporting Facility |
| SR-NASD-2006-125 | Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications |
| SR-NASD-2006-124 | Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web site and Telephone Number. |
| SR-NASD-2006-121 | Proposed Rule Change to Amend Rule 11890(b)(2) to Allow NASD to Designate Officers to Take Action Under the Rule with Respect to Clearly Erroneous Transactions |
| SR-NASD-2006-120 | Proposed Rule Change to Extend the Hours of Operations of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities under the Rule 6400 Series |
| SR-NASD-2006-118 | Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete Firm-Element Continuing Education to Qualify to Engage in a Security Futures Business |
| SR-NASD-2006-115 | Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange |
| SR-NASD-2006-113 | Proposed Rule Change To Amend NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest |
| SR-NASD-2006-112 | Proposed Rule Change to Amend NASD Rule 2711 to Codify Existing Interpretive Guidance Relating to Research Analyst Rules |
| SR-NASD-2006-111 | Proposed Rule Change to Amend the Citation to Section 19 of the Securities Exchange Act in NASD Rule 9559 |
| SR-NASD-2006-110 | Proposed Amendment to Rule 6230 to Accommodate Anticipated Trading of Certain TRACE-Eligible Securities on NYSE's ABS, and Technical Amendments to Reflect the Registration of Nasdaq Stock Market, Inc. as a National Securities Exchange. |
| SR-NASD-2006-109 | The Proposed Rule Change Amends the Proposed Code of Arbitration Procedure for Customer Disputes and the Proposed Code of Arbitration Procedure for Industry Disputes and the NASD Code of Arbitration Procedure to Address Representation of Parties in Arbitration and Mediation. |