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-2010-060 | Proposed Rule Change to Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2010-059 | Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook |
| SR-FINRA-2010-058 | Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043 |
| SR-FINRA-2010-057 | Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490 |
| SR-FINRA-2010-056 | Proposed Rule Change to Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and toAmend the FINRA Rule 9520 Series (Eligibility Proceedings) |
| SR-FINRA-2010-055 | Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices) |
| SR-FINRA-2010-054 | Proposed Rule Change to Extend the Period in Which to Make Rule Changes in SR-FINRA-2009-065 Effective |
| SR-FINRA-2010-053 | Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (“Customer Code”), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases |
| SR-FINRA-2010-052 | Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook |
| SR-FINRA-2010-051 | Proposed Rule Change to Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and SR-FINRA-2010-003 |
| SR-FINRA-2010-050 | The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims |
| SR-FINRA-2010-049 | Proposed Rule Change Relating to Quotation Requirements on the Alternative Display Facility |
| SR-FINRA-2010-048 | Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol |
| SR-FINRA-2010-047 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2010-046 | Proposed Rule Change Relating to Exemptions from the Trading Activity Fee |
| SR-FINRA-2010-045 | Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement |
| SR-FINRA-2010-044 | Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks |
| SR-FINRA-2010-043 | Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS |
| SR-FINRA-2010-042 | Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets) |
| SR-FINRA-2010-041 | Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Extend the Time to Submit Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading |
| SR-FINRA-2010-040 | Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets Held at a Financial Institution) |
| SR-FINRA-2010-039 | Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook |
| SR-FINRA-2010-038 | Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01 |
| SR-FINRA-2010-037 | Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants) |
| SR-FINRA-2010-036 | Proposed Rule Change to Amend the Arbitration Codes to Permit Arbitrators to Make Referrals During an Arbitration Proceeding |