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-2008-051 | Proposed Rule Change to Amend Rules 12214, 12514 and 12904 of the Code of Arbitration Procedure for Customer Disputes and Rules 13214, 13514 and 13904 of the Code of Arbitration Procedure for Industry Disputes to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties |
| SR-FINRA-2008-050 | Proposed Rule Change to Eliminate FINRA/NSX Trade Reporting Facility Securities Transaction Credit Program |
| SR-FINRA-2008-049 | Proposed Rule Change Relating to UPC Advisory on Trading Halts in OTC Equity Securities |
| SR-FINRA-2008-048 | Proposed Rule Change to Adopt FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) |
| SR-FINRA-2008-047 | Proposed Rule Change to Amend Rule 12401 of the Customer Code and Rule 13401 of the Industry Code to Raise the Amount in Controversy Heard by a Single Chair-qualified Arbitrator to $100,000 |
| SR-FINRA-2008-046 | Proposed Rule Change to Amend the By-Laws of FINRA Regulation to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board |
| SR-FINRA-2008-045 | Proposed Rule Change to Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications |
| SR-FINRA-2008-044 | Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Address the Supervision of Market Letters |
| SR-FINRA-2008-043 | Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations |
| SR-FINRA-2008-042 | Proposed Rule Change Relating to Amendments to Portolio Margin |
| SR-FINRA-2008-041 | Proposed Rule Change to Make Permanent the Portfolio Margin Pilot Program |
| SR-FINRA-2008-040 | Proposed Rule Change Relating to Elimination of the Requirement to Report Yield to TRACE and Addition of Yield Calculated by TRACE System in Disseminated Data |
| SR-FINRA-2008-039 | Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Reg M) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-038 | Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Define Market Letters as Correspondence Rather than as Sales Literature |
| SR-FINRA-2008-037 | Proposed Rule Change to Amend NASD Rule 11890 (Clearly Erroneous Transactions) |
| SR-FINRA-2008-036 | Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms that are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed |
| SR-FINRA-2008-035 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to add the Fees Charged for the Series 14 and Series 16 Examinations |
| SR-FINRA-2008-034 | Proposed Rule Change to Amend Incorporated NYSE Rules 311, 342, 345, 346, and 416 to Delete References to Fees in Those Rules |
| SR-FINRA-2008-033 | Proposed Rule Change to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-032 | Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-031 | Proposed Rule Change will Amend the Uniform Submission Agreement |
| SR-FINRA-2008-030 | Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-029 | Proposed Rule Change to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G, and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook |
| SR-FINRA-2008-028 | Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook |
| SR-FINRA-2008-027 | Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook |