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-2010-040 | 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 |
| SR-FINRA-2010-035 | Proposed Rule Change to Amend the Discovery Guide and to MakeOther Conforming Changes to Rules in the Arbitration Codes |
| SR-FINRA-2010-034 | Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook |
| SR-FINRA-2010-033 | Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Add Securities to the Pilot Rule |
| SR-FINRA-2010-032 | Proposed Rule Change to Amend FINRA Rule 11892 Regarding Clearly Erroneous Transactions in Exchange-Listed Securities |
| SR-FINRA-2010-031 | 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) as Part of their New Membership Application |
| SR-FINRA-2010-030 | Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRARulebook |
| SR-FINRA-2010-029 | Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook |
| SR-FINRA-2010-028 | Proposed Rule Change to Adopt FINRA Rule 4320 (Short Sale Delivery Requirements) in the Consolidated FINRA Rulebook |
| SR-FINRA-2010-027 | Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc. |
| SR-FINRA-2010-026 | Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook |
| SR-FINRA-2010-025 | Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) |
| SR-FINRA-2010-024 | Proposed Rule Change to Adopt FINRA Rules 4210, 4220 and 4230 in the Consolidated FINRA Rulebook |
| SR-FINRA-2010-023 | Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule |
| SR-FINRA-2010-022 | Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure |
| SR-FINRA-2010-021 | Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device |
| SR-FINRA-2010-020 | Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements |
| SR-FINRA-2010-019 | Proposed Rule Change to Extend the Implementation Period for the Rule Changes Approved in SR-FINRA-2009-065 |
| SR-FINRA-2010-018 | Proposed Rule Change to Adopt NASD Rule 2212 (Telemarketing) as FINRA Rule 3230 in the Consolidated FINRA Rulebook |
| SR-FINRA-2010-017 | Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member |
| SR-FINRA-2010-016 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws |