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-2000-036 | Amendments to Options Rules |
| SR-NASD-2000-034 | Amendments to Rules 10308 and 10312 Concerning the Authority of the Director of Arbitration to Remove Arbitrators for Cause |
| SR-NASD-2000-033 | Amendment to NASD Rule 3340 to Prohibit Publication of Quotations in a Security |
| SR-NASD-2000-025 | Extension of Time to Pass Series 55 Examination, Equity Trader |
| SR-NASD-2000-024 | Confirmation Disclosure of Callable Common Stock |
| SR-NASD-2000-023 | Amendments to Order Audit Trail System Rules |
| SR-NASD-2000-020 | Amendments to Rule 2320(g) and Rule 3110(b) |
| SR-NASD-2000-015 | Margin Rule Amendments Relating to Options Positions |
| SR-NASD-2000-013 | Disclosure of Values for Direct Participation Program and Real Estate Investment Trust Securities on Customer Account Statements |
| SR-NASD-2000-012 | Amendments to Rules Governing Member Communications With the Public |
| SR-NASD-2000-011 | Proposed Rule Change Relating to Mediation Fee Structure |
| SR-NASD-2000-009 | Amendment to Effective Date of Phase Three of Order Audit Trail System Rules |
| SR-NASD-2000-008 | Margin Rule Amendments Relating to Non-Equity Securities and Exempt Accounts |
| SR-NASD-2000-005 | Release of Disciplinary Information |
| SR-NASD-2000-004 | Amendments to the Corporate Financing Rule |
| SR-NASD-2000-003 | Margin Requirements for Day-Trading Customers |
| SR-NASD-2000-002 | Amendments to NASD Code of Arbitration Procedure Rules 10335 and 10205(h) Relating to Injunctive Relief |
| SR-NASD-2000-001 | Notice to Members on Extended Hours Trading |
| SR-NASD-1999-076 | Amendments to the Code of Procedure and Other Provisions |
| SR-NASD-1999-074 | Exemption from the Corporate Financing Rule for Interval Funds |
| SR-NASD-1999-072 | Extension of Effectiveness of Pilot Injunctive Relief Rule |
| SR-NASD-1999-067 | Amendments to Member Admission Rules |
| SR-NASD-1999-065 | Creation of Corporate Bond Trade Reporting Facility |
| SR-NASD-1999-063 | Amendments to Rule 2260 Governing Giving of Proxies by Members Absent Written Instructions from Beneficial Owners |
| SR-NASD-1999-060 | Proposed Rule 2790, Trading in Hot Equity Offerings |