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-2006-071 | Proposed Rule Change Relating to Technical Amendments to Rule 3210 |
| SR-NASD-2006-070 | Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions |
| SR-NASD-2006-069 | Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals. |
| SR-NASD-2006-066 | Proposal to Amend Rule 2340 to Relieve Members from the Requirement to Send Quarterly Account Statements to Customer Accounts that are Carried on a DVP/RVP Basis |
| SR-NASD-2006-065 | Proposed Rule Change to Amend Schedule A to the NASD By-Laws Regarding Branch Office Fees |
| SR-NASD-2006-064 | Proposal to Adopt New NASD Rule 3160 Relating to Extension of Time Requests |
| SR-NASD-2006-063 | Amendment to Section 8 of Schedule A to NASD By-Laws to Increase the Service Charge for Processing Extension of Time Requests |
| SR-NASD-2006-062 | Amendment to Rule 6957(c) to Revise the Effective Date for Recent Amendments to NASD's Order Audit Trail System Rules |
| SR-NASD-2006-060 | Proposal to Adopt Rule 3170 Regarding Electronic Filing of All Regulatory Notices or Documents as Specified by NASD |
| SR-NASD-2006-055 | Proposed Amendments to Section 3 of Schedule A to the NASD By-Laws to Require the Reporting of Transactions Subject to a Regulatory Transaction Fee in an Automated Manner |
| SR-NASD-2006-052 | Rule Change to Revise the Effective Date of Certain Amendments to NASD's Order Audit Trail System Rules |
| SR-NASD-2006-050 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2006-046 | Technical Amendments to Rule 3080 Regarding Disclosures to Associated Persons When Signing Form U-4 |
| SR-NASD-2006-045 | Amendments to Rules 2520 and 2522 to Recognize Additional Complex Option Spread Strategies and Amend Provisions for Permitted Offsets |
| SR-NASD-2006-044 | Proposal to Adopt New IM-3060 to Require Members to Adopt Written Policies and Procedures Concerning Business Entertainment |
| SR-NASD-2006-040 | Proposed Amendments to Expand NASD's Current Order Audit Trail System (OATS) Exemptive Authority to Include Recording Requirements |
| SR-NASD-2006-039 | Proposed Amendments to Rules Regarding Trading and Quotation Halts in OTC Equity Securities |
| SR-NASD-2006-038 | Proposed Amendments to Rule 1013 to Adopt a Standardized New Member Application Form |
| SR-NASD-2006-037 | Extension of Effective Date of NASD Rule 3010(g)(2)(A) and IM-3010-1 (Uniform Branch Office Definition) |
| SR-NASD-2006-036 | Proposed Rule Change to Amend NASD Interpretive Material 3013 |
| SR-NASD-2006-035 | Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers |
| SR-NASD-2006-029 | Proposed Amendments to Rule 6530 to Clarify the Removal Process for the Securities of OTCBB Issuers |
| SR-NASD-2006-025 | Proposed Amendment to Rule 2860 to Extend a Pilot Program |
| SR-NASD-2006-012 | Proposed Amendments to IM-2110-2 to Clarify the Application of the Manning Rule to Non-Market Makers |
| SR-NASD-2006-011 | Proposed Amendments to Rule 2211 Regarding Principal Pre-Use Approval of Member Correspondence |