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-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 |
| SR-FINRA-2015-035 | Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities |
| SR-FINRA-2015-034 | Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc. |
| SR-FINRA-2015-033 | Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities |
| SR-FINRA-2015-032 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5 |
| SR-FINRA-2015-031 | Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”) |
| SR-FINRA-2015-030 | Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook |
| SR-FINRA-2015-029 | Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook |
| SR-FINRA-2015-028 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2015-027 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2015-026 | Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down |
| SR-FINRA-2015-025 | Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable |
| SR-FINRA-2015-024 | Proposed Rule Change to Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants |
| SR-FINRA-2015-023 | Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA’s Website |
| SR-FINRA-2015-022 | Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites |
| SR-FINRA-2015-021 | Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees |
| SR-FINRA-2015-020 | Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs |
| SR-FINRA-2015-019 | Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders |
| SR-FINRA-2015-018 | Proposed Rule Change to Revise the Series 4 Examination Program |
| SR-FINRA-2015-017 | Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories |
| SR-FINRA-2015-016 | Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements |