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-2006-050 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2006-046 | Technical Amendments to Rule 3080 Regarding Disclosures to Associated Persons When Signing Form U-4 |
| SR-NASD-2006-045 | Amendments to Rules 2520 and 2522 to Recognize Additional Complex Option Spread Strategies and Amend Provisions for Permitted Offsets |
| SR-NASD-2006-044 | Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment |
| SR-NASD-2006-040 | Proposed Amendments to Expand NASD's Current Order Audit Trail System (OATS) Exemptive Authority to Include Recording Requirements |
| SR-NASD-2006-039 | Proposed Amendments to Rules Regarding Trading and Quotation Halts in OTC Equity Securities |
| SR-NASD-2006-038 | Proposed Amendments to Rule 1013 to Adopt a Standardized New Member Application Form |
| SR-NASD-2006-037 | Extension of Effective Date of NASD Rule 3010(g)(2)(A) and IM-3010-1 (Uniform Branch Office Definition) |
| SR-NASD-2006-036 | Proposed Rule Change to Amend NASD Interpretive Material 3013 |
| SR-NASD-2006-035 | Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers |
| SR-NASD-2006-029 | Proposed Amendments to Rule 6530 to Clarify the Removal Process for the Securities of OTCBB Issuers |
| SR-NASD-2006-025 | Proposed Amendment to Rule 2860 to Extend a Pilot Program |
| SR-NASD-2006-012 | Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers |
| SR-NASD-2006-011 | Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence |
| SR-NASD-2006-007 | Proposed Amendments to Rule 2860 to Revise the Definition of the Term Underlying Index and Allow Members to Calculate Position Limits for Certain Conventional Equity Options |
| SR-NASD-2006-005 | Proposal to Expand the Scope of Rule 2440 and IM-2440 to Apply to All Securities Transactions with or for a Customer |
| SR-NASD-2006-003 | NASD is Filing Notice to Members 06-03, Which Provides Guidance Regarding the Application of New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances |
| SR-NASD-2005-152 | Proposed Rule Change to Extend the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 |
| SR-NASD-2005-146 | Proposed Rule Change to Expand the Scope of IM-2110-2 (the "Manning Rule") |
| SR-NASD-2005-144 | Proposed Rule Change to Add New NASD Rule 3380 Relating to Order Entry and Execution Practices |
| SR-NASD-2005-139 | Proposed Rule Change to Amend Rule 2111 to Delete References to Rule 6440(f)(2) in Light of Recent Rule Change Repealing Rule 6440(f) |
| SR-NASD-2005-135 | Proposed Amendments Relating to the Status of Former Registered Persons Serving in the Armed Forces of the United States |
| SR-NASD-2005-134 | Proposed Amendments Relating to the Status of Registered Persons and Sole Proprietors Serving in the Armed Forces of the United States |
| SR-NASD-2005-133 | Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase Certain Qualification Examination Fees |
| SR-NASD-2005-132 | Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase the Session Fee for the Regulatory Element Continuing Education Program |