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-2012-021 | 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-2012-020 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced |
| SR-FINRA-2012-019 | Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council |
| SR-FINRA-2012-018 | Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA |
| SR-FINRA-2012-017 | Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview) |
| SR-FINRA-2012-016 | Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems |
| SR-FINRA-2012-015 | Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2012-014 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2012-012 | Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000 |
| SR-FINRA-2012-011 | Proposed Rule Change to Amend FINRA's Mediation Code to Provide the Director of Mediation with the Discretion to Determine Whether Parties May Select a Mediator Who Is Not on FINRA's Mediator Roster |
| SR-FINRA-2012-010 | Proposed Amendments to FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) |
| SR-FINRA-2012-009 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States |
| SR-FINRA-2012-008 | Proposed Rule Change Relating to the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities. |
| SR-FINRA-2012-007 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
| SR-FINRA-2012-006 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot |
| SR-FINRA-2012-005 | Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions |
| SR-FINRA-2012-004 | Proposed Rule Change to Extend the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2012-003 | Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019 |
| SR-FINRA-2012-001 | Proposed Rule Change to Amend FINRA Rule 4560 (Short-Interest Reporting) |
| SR-FINRA-2011-075 | Proposed Rule Change to Amend Rule 13204 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code |
| SR-FINRA-2011-074 | Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities |
| SR-FINRA-2011-073 | Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee |
| SR-FINRA-2011-072 | Proposed Rule Change to Extend a TRACE Pilot Program |
| SR-FINRA-2011-071 | Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities |
| SR-FINRA-2011-070 | Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information) |