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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-2016-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2015-059 | Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| SR-FINRA-2015-058 | Proposed Rule Change Relating to the Series 9/10 Examination Program |
| SR-FINRA-2015-057 | Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers |
| SR-FINRA-2015-056 | Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules |
| SR-FINRA-2015-055 | Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System) |
| SR-FINRA-2015-054 | Proposed Rule Change to Adopt the Capital Acquisition Broker Rules |
| SR-FINRA-2015-053 | Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees |
| SR-FINRA-2015-052 | Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration) |
| SR-FINRA-2015-051 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2015-050 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2015-049 | Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees |
| SR-FINRA-2015-048 | Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program |
| SR-FINRA-2015-047 | Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program |
| SR-FINRA-2015-046 | Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI |
| SR-FINRA-2015-045 | Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq) |
| SR-FINRA-2015-044 | Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57) |
| SR-FINRA-2015-043 | Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA |
| SR-FINRA-2015-042 | Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57) |
| SR-FINRA-2015-041 | Proposed Rule to Establish Fees for Funding Portals |
| SR-FINRA-2015-040 | Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518 |
| SR-FINRA-2015-039 | Proposed Rule Change Relating to the Series 28 Examination Program |
| SR-FINRA-2015-038 | Proposed Rule Change Relating to the Series 27 Examination Program |
| SR-FINRA-2015-037 | Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4) |
| SR-FINRA-2015-036 | Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market |