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-2006-108 | 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 |
| SR-NASD-2006-091 | Amendments to NASD Rules to Align Them with Regulation NMS and to Allow for Quoting, Trade Reporting and Clearing Through the Alternative Display Facility for all NMS Stock. |
| SR-NASD-2006-090 | Proposed Rule Change to Adopt a Schedule of Fees and Credits for The Trade Reporting Facility LLC Established by NASD and The Nasdaq Stock Market, Inc. |
| SR-NASD-2006-089 | Proposed Rule Change to Amend NASD Rule 5100 (Short Sale Rule) to Allow Members to use, for a Transitional Period, the Nasdaq Exchange Best (inside) Bid Rather than the National Best (inside) Bid for Purposes of Application of the Rule |
| SR-NASD-2006-088 | A Proposed Rule Change to Adopt Rule 12504 of the Proposed Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13504 of the Proposed Code of Arbitration Procedure for Industry Disputes ("Industry Code") to Address Motions to Decide Claims Before a Hearing on the Merits. |
| SR-NASD-2006-087 | Proposed Rule Change to Amend NASD Rule 5110 and to Make Technical, Non-Substantive Changes to Certain Other NASD Rules Amended by Approved Rule Change SR-NASD-2005-087 |
| SR-NASD-2006-086 | Revisions to the Series 55 Examination Program. |
| SR-NASD-2006-085 | Revisions to the Series 39 Examination Program. |
| SR-NASD-2006-084 | Revisions to the Series 28 Examination Program. |
| SR-NASD-2006-083 | Revisions to the Series 27 Examination Program. |
| SR-NASD-2006-082 | Revisions to the Series 22 Examination Program. |
| SR-NASD-2006-081 | Proposed Rule Change to Adopt New NASD Rule 5150 to Require an NASD Member That is Registered as a Nasdaq Market Maker in a Non-Nasdaq Exchange-Listed Security to Comply with NASD Rule 5262 Relating to Trade-Throughs With Respect to that Security. |
| SR-NASD-2006-076 | Proposed Rule Change to Exempt All Securities Included in the NASDAQ 100 Index from the Price Test Set Forth in NASD Rule 5100 (Formerly Rule 3350) |
| SR-NASD-2006-074 | Amendments Relating to the Issuer-Directed Securities Exemption in NASD Rule 2790 |
| SR-NASD-2006-073 | Proposed Rule Change to Amend Interpretive Material 2210-4 Regarding Hyperlinks to NASD's Web Site |