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-2006-007 | Proposed Amendments to Rule 2860 to Revise the Definition of the Term Underlying Index and Allow Members to Calculate Position Limits for Certain Conventional Equity Options |
| SR-NASD-2006-005 | Proposal to Expand the Scope of Rule 2440 and IM-2440 to Apply to All Securities Transactions with or for a Customer |
| SR-NASD-2006-003 | NASD is Filing Notice to Members 06-03, Which Provides Guidance Regarding the Application of New Rule 2111 Prohibiting Members from Trading Ahead of Customer Market Orders Under Certain Circumstances |
| SR-NASD-2005-152 | Proposed Rule Change to Extend the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 |
| SR-NASD-2005-146 | Proposed Rule Change to Expand the Scope of IM-2110-2 (the "Manning Rule") |
| SR-NASD-2005-144 | Proposed Rule Change to Add New NASD Rule 3380 Relating to Order Entry and Execution Practices |
| SR-NASD-2005-139 | Proposed Rule Change to Amend Rule 2111 to Delete References to Rule 6440(f)(2) in Light of Recent Rule Change Repealing Rule 6440(f) |
| SR-NASD-2005-135 | Proposed Amendments Relating to the Status of Former Registered Persons Serving in the Armed Forces of the United States |
| SR-NASD-2005-134 | Proposed Amendments Relating to the Status of Registered Persons and Sole Proprietors Serving in the Armed Forces of the United States |
| SR-NASD-2005-133 | Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase Certain Qualification Examination Fees |
| SR-NASD-2005-132 | Proposed Amendment to Section 4 of Schedule A to NASD By-Laws to Increase the Session Fee for the Regulatory Element Continuing Education Program |
| SR-NASD-2005-130 | Proposed Amendments to NASD Rule 6210(a), the Definition of "TRACE-eligible security," and NASD Rule 6260, the TRACE Notification Provision |
| SR-NASD-2005-129 | Propose Rule Change to Exempt All Securities Included in the Nasdaq 100 Index From the Price Test Set Forth in NASD Rule 3350(a) |
| SR-NASD-2005-124 | Proposed Rule Change to Repeal Rule 6440(f) |
| SR-NASD-2005-121 | Proposed Rule Change Relating to Amendments to Rule 3012, Rule 3013, and IM-3013 |
| SR-NASD-2005-120 | Proposed Amendments to Rule 6250 Regarding Dissemination of TRACE-eligible Securities Transactions |
| SR-NASD-2005-117 | Proposal to Make Permanent Bond Mutual Fund Volatility Ratings Rules |
| SR-NASD-2005-114 | Proposed Amendments for Rule 2810 Addressing Compensation Fees and Expenses in Public Offerings of REITs and DPPs |
| SR-NASD-2005-112 | Proposed Rule Change to Amend NASD Rule 3360 Regarding Short Interest Reporting Requirements |
| SR-NASD-2005-111 | Proposed Revisions to the Series 9/10 Examination Program |
| SR-NASD-2005-110 | Proposed Revisions to the Series 6 Examination Program |
| SR-NASD-2005-109 | Proposed Revisions to the Series 4 Examination Program |
| SR-NASD-2005-104 | Proposed Rule Change to Extend the Provisions of NASD Rule 2210(c)(3) and Interpretive Material 2210-5 on a Pilot Basis |
| SR-NASD-2005-103 | Proposed Rule Change to Amend NASD Rule 3110 |
| SR-NASD-2005-101 | Proposed Rule Change to Amend NASD Rules 6951 and 6952 Regarding Order Audit Trail System Reporting |