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-2007-013 | 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. |
| SR-FINRA-2007-010 | Proposed Rule Change to Amend an Exemption to NASD Rule 1050 and NYSE Rule Interpretation 344/02 |
| SR-NASD-2007-010 | Proposed Rule Change to Amend NASD Rule 7010 to Modify Pricing for NASD Members Using the ITS/CAES System and Inet Facility |
| SR-FINRA-2007-009 | Proposed Rule Change to Modernize and Simplify NASD Rule 2720 |
| SR-NASD-2007-009 | Proposed Rule Change Relating to Extension of NASD's Short Sale Rule Contained in Rule 5100 and Short Sale Standard Contained in IM-5100 |
| SR-FINRA-2007-008 | Proposed Rule Change to Amend the Definition of Office of Supervisory Jurisdiction ("OSJ") in NASD Rule 3010(g)(1) |
| SR-NASD-2007-008 | Proposed Rule Change to Extend the Pilot Periods for NASD Rules 4613A(b) and 5140 until January 25, 2008 |
| SR-FINRA-2007-007 | Proposed Rule Change Regarding Exemption from TRACE Trade Reporting Requirements |
| SR-NASD-2007-007 | Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits |
| SR-FINRA-2007-006 | Proposed Rule Change Regarding Historic TRACE Data |
| SR-NASD-2007-006 | Proposed Rule Change to NASD By-Laws Relating to Fees for Filing Documents Pursuant to Rule 2710 |
| SR-FINRA-2007-005 | Proposed Rule Change to Amend NASD Rule 11870 and New York Stock Exchange Rule 412 |
| SR-NASD-2007-005 | Proposed Rule Change Relating to Operating NASD's Alternative Display Facility on a Permanent Basis |
| SR-FINRA-2007-004 | Proposed Rule Change to Amend NASD Rules 1021 and 1031 Regarding Registration Requirements |
| SR-NASD-2007-004 | Proposed Rule Change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine (TRACE) Transaction Data and Data Fees |
| SR-FINRA-2007-003 | Proposed Rule Change to Amend NASD Rules 4632C, 6130C and 6130 |
| SR-NASD-2007-003 | Proposed Rule Change to Adopt New NASD Rule 7000D Series Relating to Fees and Credits for the NASD/BSE Trade Reporting Facility |
| SR-FINRA-2007-002 | Proposed Amendment of Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits |
| SR-NASD-2007-002 | Proposed Rule Change to Make Conforming Changes to the NASD/Nasdaq Trade Reporting Facility Rules Consistent with the New Requirements of Regulation NMS |
| SR-FINRA-2007-001 | Proposed Rule Change to Amend NASD Rule 6952 to Exclude Certain Orders and Transactions in Foreign Equity Securities from the Order Audit Trail System Recording and Reporting Requirements |
| SR-NASD-2007-001 | Proposed Rule Change to Amend NASD Rules 4130A, 4300A, 4613A, 4617A, and 4632A Regarding the Alternative Display Facility |