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-2007-023 | Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. |
| SR-FINRA-2007-022 | Proposed Amendment to FINRA's NYSE Rule 342.13 Regarding the Series 9/10 and Series 24 Examinations |
| SR-NASD-2007-022 | The Proposed Rule Change Amends the NASD Code of Mediation Procedure. The Proposal is Concerned Solely with the Administration of NASD in That it Renumbers the Rules, Updates Cross References, and Reinserts Rule Language That had Been Reserved |
| SR-FINRA-2007-021 | The Proposal is Amending Rules 12206 and 12504 of the Customer Code and Rules 13206 and 13504 of the Industry Code to Address Motions to Dismiss and to Amend the Provision of the Eligibility Rule Related to Dismissals |
| SR-NASD-2007-021 | The Proposal Amends the Definition of Public Arbitrator under the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Add an Annual Revenue Limitation |
| SR-FINRA-2007-020 | Proposed Rule Change to Amend NASD Rule 2210 to Create an Exception from the Principal Approval Requirements for Certain Filed Sales Material |
| SR-NASD-2007-020 | Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e) |
| SR-FINRA-2007-019 | Proposed Rule Change to Amend the Definition of Member Organization in FINRA NYSE Rule 2 |
| SR-NASD-2007-019 | Proposed Rule Change to Revise the Effective Date of Amendments to NASD's Order Audit Trail System Rules |
| SR-FINRA-2007-018 | Proposed Rule Change Relating to Dissemination of Trade Reports for OTC ADRs and Canadian Issues |
| SR-NASD-2007-018 | Proposed Rule Change to Amend the NASD Rule 7000 Series to Delete References to Systems and Services That Will No Longer Be Provided by NASD |
| SR-FINRA-2007-017 | Proposed Rule Change to Amend Rules Relating to Reporting of Odd-Lot Transactions to FINRA |
| SR-NASD-2007-017 | Proposed Rule Change to Amend NASD Rule 7010A Relating to the Alternative Display Facility Quotation Update Fee |
| SR-FINRA-2007-016 | Proposed Rule Change to Reflect the Closing of the NASD/BSE Trade Reporting Facility |
| SR-NASD-2007-016 | Proposed Rule Change to Amend NASD Rules 4632C and 4632D to Reflect "As/Of" Trade Reporting and the Automated Reporting of Trade Cancellations to the NASD/NSX Trade Reporting Facility and the NASD/BSE Trade Reporting Facility |
| SR-FINRA-2007-015 | Proposed Rule Change to Amend NASD Rules 4632E, 6130E, 6140E and 6160E |
| SR-NASD-2007-015 | A Proposed Rule Change to NASD Rules 1012 and 1013 to Require Applicants for Membership to Apply for Membership in the Manner NASD Prescribes |
| SR-FINRA-2007-014 | Proposed Rule Change to Amend NASD Interpretative Material 2210-4 |
| SR-NASD-2007-014 | Proposed Rule Change to Make Conforming Changes to the Rules Relating to the NASD/NSX TRF, NASD/BSE TRF and NASD/NYSE TRF Consistent with the New Requirements of Regulation NMS |
| SR-FINRA-2007-013 | Proposed Rule Change Relating to Amendments to NASD Rule 3210 (Short Sale Delivery Requirements) |
| SR-NASD-2007-013 | Amendments to Rules 2520 and 2860 to Adopt a Portfolio Margin Pilot Program |
| SR-FINRA-2007-012 | Proposed Rule Change to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA |
| SR-NASD-2007-012 | Proposal Relating to Implementation of Certain Approved NASD Rule Changes Upon the Operation of the Nasdaq Stock Market LLC for Non-Nasdaq Exchange-Listed Securities |
| SR-FINRA-2007-011 | Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472 |
| SR-NASD-2007-011 | Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with NYSE Market, Inc. |