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-2013-053 | Proposed Rule Change to Update the Rules Governing the Alternative Display Facility |
| SR-FINRA-2013-052 | Proposed Rule Change Relating to Alternative Display Facility New Entrant |
| SR-FINRA-2013-051 | Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR) |
| SR-FINRA-2013-050 | Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting |
| SR-FINRA-2013-049 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2013-048 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures that are Permanently Available in BrokerCheck |
| SR-FINRA-2013-047 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes |
| SR-FINRA-2013-046 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities |
| SR-FINRA-2013-045 | Proposed Rule Change to Revise the Series 6 Examination Program |
| SR-FINRA-2013-044 | Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member |
| SR-FINRA-2013-043 | Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data |
| SR-FINRA-2013-042 | Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers |
| SR-FINRA-2013-041 | Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892 |
| SR-FINRA-2013-040 | Proposed Rule Change to Amend FINRA Rule 7730(c) to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot |
| SR-FINRA-2013-039 | Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA |
| SR-FINRA-2013-038 | Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) |
| SR-FINRA-2013-037 | Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) |
| SR-FINRA-2013-036 | Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) |
| SR-FINRA-2013-035 | Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook |
| SR-FINRA-2013-034 | Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens |
| SR-FINRA-2013-033 | Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan. |
| SR-FINRA-2013-032 | Proposed Rule Change to Revise the Series 16 Examination Program |
| SR-FINRA-2013-031 | Proposed Rule Change Relating to Participation on the Alternative Display Facility |
| SR-FINRA-2013-030 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2013-029 | Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A |