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-2015-015 | Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements |
| SR-FINRA-2015-014 | Proposed Rule Change to Amend Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites |
| SR-FINRA-2015-013 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2015-012 | Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System |
| SR-FINRA-2015-011 | Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H) |
| SR-FINRA-2015-010 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2015-009 | Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents |
| SR-FINRA-2015-008 | Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050 |
| SR-FINRA-2015-007 | Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue |
| SR-FINRA-2015-006 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees |
| SR-FINRA-2015-005 | Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information) |
| SR-FINRA-2015-004 | Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook |
| SR-FINRA-2015-003 | Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing |
| SR-FINRA-2015-002 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2015-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2014-051 | Proposed Rule Change Relating to In Concert Reporting of Options Positions |
| SR-FINRA-2014-050 | Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) |
| SR-FINRA-2014-049 | Proposed Rule Change to Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook. |
| SR-FINRA-2014-048 | Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |
| SR-FINRA-2014-047 | Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook |
| SR-FINRA-2014-046 | Proposed Rule Change to Modify the Gross Income Assessment Pricing Structure |
| SR-FINRA-2014-045 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2014-044 | Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025 |
| SR-FINRA-2014-043 | Proposed Rule Change to Adopt as Permanent the Limited Fee Waiver Pilot Program Pursuant to FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) |
| SR-FINRA-2014-042 | Proposed Rule Change Relating to the Implementation Date of Market Participant Identifier Requirements for Alternative Trading Systems |