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-2006-129 | Proposed Rule Change to Amend Rule 6130C of the NASD/NSX Trade Reporting Facility Rules to Require Use of a Special Indicator Denoting That Certain Transactions are Reported in Accordance with Section 3 of Schedule A to the NASD By-Laws |
| SR-NASD-2006-128 | Proposed Rule Change to Establish a New Effective Date For Amendments to NASD Rule 2340 |
| SR-NASD-2006-127 | Proposed Rule Change to Adopt New NASD Rule 7000C Series Relating to Fees and Credits for the NASD/NSX Trade Reporting Facility |
| SR-NASD-2006-125 | Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications |
| SR-NASD-2006-124 | Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web site and Telephone Number. |
| SR-NASD-2006-121 | Proposed Rule Change to Amend Rule 11890(b)(2) to Allow NASD to Designate Officers to Take Action Under the Rule with Respect to Clearly Erroneous Transactions |
| SR-NASD-2006-120 | Proposed Rule Change to Extend the Hours of Operations of the NASD/Nasdaq TRF, the OTC Reporting Facility and the Trade Reporting of Non-Nasdaq Exchange-Listed Securities under the Rule 6400 Series |
| SR-NASD-2006-118 | Proposed Rule Change to Extend the Date by which Eligible Registrants Must Complete Firm-Element Continuing Education to Qualify to Engage in a Security Futures Business |
| SR-NASD-2006-115 | Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange |
| SR-NASD-2006-113 | Proposed Rule Change To Amend NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest |
| SR-NASD-2006-112 | Proposed Rule Change to Amend NASD Rule 2711 to Codify Existing Interpretive Guidance Relating to Research Analyst Rules |
| SR-NASD-2006-111 | Proposed Rule Change to Amend the Citation to Section 19 of the Securities Exchange Act in NASD Rule 9559 |
| SR-NASD-2006-110 | Proposed Amendment to Rule 6230 to Accommodate Anticipated Trading of Certain TRACE-Eligible Securities on NYSE's ABS, and Technical Amendments to Reflect the Registration of Nasdaq Stock Market, Inc. as a National Securities Exchange. |
| SR-NASD-2006-109 | The Proposed Rule Change Amends the Proposed Code of Arbitration Procedure for Customer Disputes and the Proposed Code of Arbitration Procedure for Industry Disputes and the NASD Code of Arbitration Procedure to Address Representation of Parties in Arbitration and Mediation. |
| SR-NASD-2006-108 | Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange |
| SR-NASD-2006-105 | Proposed Rule Change to Amend NASD Rules 2210 and IM-2210-6 Regarding Investment Analysis Tools |
| SR-NASD-2006-104 | Proposed Rule Change to Reflect the Complete Separation of Nasdaq from NASD upon the Operation of Nasdaq as a National Securities Exchange for All Exchange-Listed Securities |
| SR-NASD-2006-103 | Proposed Rule Change to Adopt IM-6230 and Amend Rule 6250 Regarding Options, Swaps, and Similar Instruments and TRACE Requirements |
| SR-NASD-2006-102 | Proposed Rule Change to Amend Rule 10326 of the NASD Code of Arbitration Procedure to Allow for the Digital Recording of Arbitration Hearings. |
| SR-NASD-2006-101 | Proposed Rule Change to Provide for the Payment of a $200 Honorarium Per Case for each Arbitrator who Considers Contested Motions for the Issuance of Subpoenas. |
| SR-NASD-2006-100 | Proposed Amendment to Rule 2860 Regarding Option Disclosure Documents Delivery Requirements |
| SR-NASD-2006-099 | Proposed Amendments to the Procedures for Exercise of Options in Rule 2860 |
| SR-NASD-2006-098 | Technical, Non-Substantive Amendments to Certain NASD Rules Approved in SR-NASD-2006-055 that were Amended by SR-NASD-2005-087 |
| SR-NASD-2006-097 | Proposed Amendment to Rule 2860 to Extend a Pilot Program Increasing Certain Options Position and Exercise Limits. |
| SR-NASD-2006-096 | Proposed Rule Change to Amend NASD Rule 4613A and Adopt IM-4613A-1 Relating to Additional Market Participant Identifier Functionality on the Alternative Display Facility |