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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-2013-002 | Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection) |
| SR-FINRA-2013-001 | Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws |
| SR-FINRA-2012-056 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2012-055 | Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business |
| SR-FINRA-2012-054 | Proposed Rule Change to Amend FINRA Rule 9120 (Definitions) to Add the Term "Chief Legal Officer" to the Definition of "General Counsel" |
| SR-FINRA-2012-053 | Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees |
| SR-FINRA-2012-052 | Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission |
| SR-FINRA-2012-051 | Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy |
| SR-FINRA-2012-050 | Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| SR-FINRA-2012-049 | Proposed Rule Change to Amend FINRA Rule 7730(c) to establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis |
| SR-FINRA-2012-048 | Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019 |
| SR-FINRA-2012-047 | Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) |
| SR-FINRA-2012-046 | Proposed Rule Change to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o) |
| SR-FINRA-2012-045 | Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes |
| SR-FINRA-2012-044 | Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Security Futures |
| SR-FINRA-2012-043 | Proposed Rule Change to Delete FINRA Rule 7640A (Late Fees) |
| SR-FINRA-2012-042 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions |
| SR-FINRA-2012-041 | Proposed Rule Change to Amend FINRA's Customer and Industry Codes Of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production Of Documents Without Subpoenas |
| SR-FINRA-2012-040 | Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws |
| SR-FINRA-2012-039 | Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) |
| SR-FINRA-2012-038 | Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions |
| SR-FINRA-2012-037 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot |
| SR-FINRA-2012-036 | Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018 |
| SR-FINRA-2012-035 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2012-034 | Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments Such as an ETF |