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-2013-028 | Proposed Rule Change to Revise the Series 55 Examination Program |
| SR-FINRA-2013-027 | Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options |
| SR-FINRA-2013-026 | Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities) |
| SR-FINRA-2013-025 | Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules |
| SR-FINRA-2013-024 | Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings |
| SR-FINRA-2013-023 | Proposed Rule Change to Amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to Simplify Arbitrator Selection in Cases with Three Arbitrators |
| SR-FINRA-2013-022 | Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions |
| SR-FINRA-2013-021 | Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions) |
| SR-FINRA-2013-020 | Proposed Rule Change to Amend FINRA Rule 5250 (Payments for Market Making) to Create an Exception for Payments to Members that are Expressly Provided for Under the Rules of a National Securities Exchange |
| SR-FINRA-2013-019 | Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2013-018 | Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information) |
| SR-FINRA-2013-017 | Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2013-016 | Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility |
| SR-FINRA-2013-015 | Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application |
| SR-FINRA-2013-014 | Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category |
| SR-FINRA-2013-013 | Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution |
| SR-FINRA-2013-012 | Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan |
| SR-FINRA-2013-011 | Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) |
| SR-FINRA-2013-010 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot |
| SR-FINRA-2013-009 | Proposed Rule Change to Modify the “Late Report—T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility |
| SR-FINRA-2013-008 | Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities |
| SR-FINRA-2013-006 | Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements) |
| SR-FINRA-2013-005 | Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act |
| SR-FINRA-2013-004 | Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders) |
| SR-FINRA-2013-003 | Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition |