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-2011-049 | Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits |
| SR-FINRA-2011-048 | Proposed Rule Change to Revise the Series 38 Examination Program |
| SR-FINRA-2011-047 | Proposed Rule Change to Revise the Series 37 Examination Program |
| SR-FINRA-2011-046 | Proposed Rule Change to Revise the Series 17 Examination Program |
| SR-FINRA-2011-045 | Proposed Rule Change to Revise the Series 7 Examination Program |
| SR-FINRA-2011-044 | Proposed Rule Change to Amend FINRA's Code of Procedure |
| SR-FINRA-2011-043 | Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws) |
| SR-FINRA-2011-042 | Proposed Rule Change Relating to Fee for the Operations Professional Examination |
| SR-FINRA-2011-041 | Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program |
| SR-FINRA-2011-040 | Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional) |
| SR-FINRA-2011-039 | Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2011-038 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot |
| SR-FINRA-2011-037 | Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions |
| SR-FINRA-2011-036 | Proposed Rule Change to Amend FINRA Rule 2360 to Increase the Position Limit for Options on the Standard and Poor’s Depositary Receipts Trust |
| SR-FINRA-2011-035 | Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook |
| SR-FINRA-2011-034 | Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2011-033 | Proposed Rule Change to Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2011-032 | Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA |
| SR-FINRA-2011-031 | Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing |
| SR-FINRA-2011-030 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
| SR-FINRA-2011-029 | Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements |
| SR-FINRA-2011-028 | Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules |
| SR-FINRA-2011-027 | Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and to Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs |
| SR-FINRA-2011-026 | Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions |
| SR-FINRA-2011-025 | Proposed Rule Change to Extend a TRACE Pilot Program |