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-NASD-2004-016 | Online Arbitration Claim Filing Pilot Program |
| SR-NASD-2004-014 | Proposed Rule Change to Adopt Interpretative Material 3150 ("IM-3150") to Establish Exemptions from the Reporting Requirements of NASD Rule 3150 |
| SR-NASD-2004-013 | Reorganization and Revision of NASD Mediation Rules |
| SR-NASD-2004-012 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2004-011 | Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes |
| SR-NASD-2004-010 | To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts |
| SR-NASD-2004-005 | Proposed Rule Change to Amend NASD Rule 2370 |
| SR-NASD-2004-003 | To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2) |
| SR-NASD-2004-002 | Amendments to Alternative Display Facility Rules to Require Advance Written Notice of Denial of Direct or Indirect Electronic Access |
| SR-NASD-2004-001 | Proposal to Increase the Fee for Panel Member Training |
| SR-NASD-2003-201 | Amendments to Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities |
| SR-NASD-2003-200 | Technical Amendment to Rule 2130 |
| SR-NASD-2003-197 | To Further Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. |
| SR-NASD-2003-194 | Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-193 | Amendments to Reduce Fee for Regulatory Element of Continuing Education Program |
| SR-NASD-2003-192 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-190 | Interpretations in a Forthcoming Notice to Members Describing Rule 2790 |
| SR-NASD-2003-186 | Administration of Qualification Examinations on Security Futures |
| SR-NASD-2003-184 | Review and Update of Member Executive Representative Designation and Contact Information |
| SR-NASD-2003-183 | Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person |
| SR-NASD-2003-182 | Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting |
| SR-NASD-2003-181 | Proposed Rule Change To Expressly State NASD's Authority to Suspend Quotations of ADF Market Participants |
| SR-NASD-2003-177 | Technical Amendments to Interpretative Material 3130 (IM-3130) |
| SR-NASD-2003-176 | Chief Executive Officer and Chief Compliance Officer Certification Proposal |
| SR-NASD-2003-175 | Proposed Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets |