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-NASD-2007-038 | The Proposal Amends the Arbitration Codes to Clarify That, for Purposes of the Codes, the Term Member Includes any Broker or Dealer Admitted to Membership in a Self-Regulatory Organization That, with NASD Consent, has Required its Members to Arbitrate Pursuant to the Codes and/or be Treated as Members of NASD for Purposes of the Codes |
| SR-FINRA-2007-037 | Proposed Rule Change to Amend FINRA's NYSE Rule 409(f) Regarding Confirmations |
| SR-NASD-2007-037 | Proposed Rule Change to Amend NASD Rules to Extend the Closing Time of the NASD/NYSE Trade Reporting Facility to 8:00 p.m. |
| SR-FINRA-2007-036 | Proposed Rule Change to Make Technical Amendments to the U4 and U5 and Branch Office Forms |
| SR-NASD-2007-036 | Proposed Amendment to NASD Rule 2342 (SIPC Information) |
| SR-FINRA-2007-035 | Proposed Amendments to Options Supervision Requirements |
| SR-NASD-2007-035 | Proposed Amendment to Rule 11810(i) to Mandate Use of Automated Liability Notification System of Registered Clearing Firm |
| SR-FINRA-2007-034 | Proposed Rule Change Relating to Dissemination of Trade Reports for OTC Equity Securities Transactions of Fewer Than 100 Shares |
| SR-NASD-2007-034 | A Proposed Rule Change to Create New NASD Rule 1160 (Contact Information Requirements) to Require Members to Verify Required Contact Information, As Well As Update Promptly, and Comply Promptly with any Request For, Such Information |
| SR-FINRA-2007-033 | Revisions to the Series 82 Examination Program |
| SR-NASD-2007-033 | Proposed Rule Change to Extend for an Additional Two-year Period, to June 23, 2009, NASD's Authority Under the Cease and Desist Pilot Program |
| SR-FINRA-2007-032 | Revisions to the Series 72 Examination Program |
| SR-NASD-2007-032 | Proposed Rule Change to Adopt New Rule 5150 and Amend Rule 9610 to Provide NASD With Authority to Exempt Members From Certain New NASD Trade Reporting Requirements |
| SR-FINRA-2007-031 | Revisions to the Series 62 Examination Program |
| SR-NASD-2007-031 | Proposed Rule Change to Amend NASD Rule 7001E to Increase Percentage of Market Data Revenue Shared with NASD/NYSE TRF Participants |
| SR-FINRA-2007-030 | Revisions to the Series 55 Examination Program |
| SR-NASD-2007-030 | Proposed Rule Change to Amend NASD Rule 6620 Relating to Trade Reporting Obligations for Transactions in Foreign Equity Securities |
| SR-FINRA-2007-029 | Revisions to the Series 42 Examination Program |
| SR-NASD-2007-029 | Proposed Rule Change to Amend NASD Rule 6540(c) Relating to Access Fee Display Requirements |
| SR-FINRA-2007-028 | Revisions to the Series 24 Examination Program |
| SR-NASD-2007-028 | Proposed Rule Change to Amend Rules 6951 and 6954 Regarding the Order Audit Trail System |
| SR-FINRA-2007-027 | Revisions to the Series 23 Examination Program |
| SR-NASD-2007-027 | Temporary Program to Allow Member Firms to Voluntarily Submit Accumulated Funds to NASD |
| SR-FINRA-2007-026 | Proposed Rule Change to Adopt a FINRA Policy to Expand Disseminated Transaction Reporting and Compliance Engine ("TRACE") Data |
| SR-NASD-2007-026 | Proposed Amendment to the Customer, Industry and Mediation Codes to Implement Technical Changes to the Three New Codes Prior to the Effective Date of the Customer and Industry Codes |