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-2011-012 | Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE) |
| SR-FINRA-2011-011 | Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. with Regard to District Committee Structure and Governance |
| SR-FINRA-2011-009 | Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610 |
| SR-FINRA-2011-008 | Proposed Rule Change Relating to Rule 6450 (Restrictions on Access Fees) |
| SR-FINRA-2011-007 | Proposed Rule Change to Amend the Customer Code to Correct Cross-References to Rules that were Changed by Another Rule Filing |
| SR-FINRA-2011-006 | Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Motion Practice |
| SR-FINRA-2011-005 | Proposed Rule Change to Amend Rule 13806 to Provide for Appointment of Chair-Qualified Public Arbitrators in Promissory Note Disputes |
| SR-FINRA-2011-004 | Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities |
| SR-FINRA-2011-003 | Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities |
| SR-FINRA-2011-002 | Proposed Rule Change to Extend a TRACE Pilot Program |
| SR-FINRA-2011-001 | Proposed Rule Change to Provide Additional Time to Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees |
| SR-FINRA-2010-068 | Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit |
| SR-FINRA-2010-067 | Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities |
| SR-FINRA-2010-066 | Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations) |
| SR-FINRA-2010-065 | Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions |
| SR-FINRA-2010-064 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot |
| SR-FINRA-2010-063 | Proposed Rule Change to Extend to July 16, 2011, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2010-062 | Proposed Rule Change to Extend the Proposed Implementation Period for the Rule Changes Approved in SR-FINRA-2010-042 |
| SR-FINRA-2010-061 | Proposed Rule Change to Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook |
| 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) |