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-2005-100 | Proposed New Rule 2231 Regarding Transaction-Specific Disclosures for Customers in Debt Securities Transactions |
| SR-NASD-2005-098 | Proposed Rule Change to Amend NASD Rule 6740 Regarding Submission of Rule 15c2-11 Information on Non-Nasdaq Securities |
| SR-NASD-2005-097 | Proposed Amendment to Rule 2860 to Extend Pilot Program |
| SR-NASD-2005-095 | Proposed Rule Change to Amend NASD Rule 6750 Relating to Non-Nasdaq OTC Equity Securities |
| SR-NASD-2005-094 | Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure Relating to the Classification of Arbitrators |
| SR-NASD-2005-093 | Proposed Rule Change Relating to Amendments to NASD Rule 3370 |
| SR-NASD-2005-092 | Proposed Rule Change to Extend the Operation of NASD's Alternative Display Facility ("ADF") on a Pilot Basis |
| SR-NASD-2005-089 | Proposed Rule Change Relating to NASD's Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities |
| SR-NASD-2005-087 | Proposed Rule Change to Reflect Nasdaq's Separation from NASD Upon Nasdaq's Anticipated Approval as a National Securities Exchange |
| SR-NASD-2005-086 | Proposed Rule Change to Amendment to Article VIII of the By-Laws, Relating to District Committees and District Nominating Committees |
| SR-NASD-2005-085 | Proposed Rule Change to Extend the Pilot Relating to Manning Price-Improvement Standards for Decimals |
| SR-NASD-2005-084 | Proposed Rule Change to Amend NASD Rule 3012 Regarding General Supervisory Requirements |
| SR-NASD-2005-083 | Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data |
| SR-NASD-2005-080 | Proposed Rule Change to Establish New NASD Rule 2290 Regarding Fairness Opinions |
| SR-NASD-2005-079 | Proposed Rule change to Revise Rule 10322 of the NASD Code of Arbitration Procedure, which Pertains to Subpoenas and the Power to Direct Appearances |
| SR-NASD-2005-074 | Proposed Rule Change to Amend Rule 7010(k)(3) Relating to Definition of "Non-Professional" and Use of TRACE Transaction Data |
| SR-NASD-2005-070 | Proposed Rule Change to Rescind the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration |
| SR-NASD-2005-067 | Proposed Rule Change to Rules 6530 and 7010 to Clarify the Availability of a Process to Review Eligibility Determinations Under Rule 6530 and to Adopt Service Based Fees for Issuers Quoted on the OTC Bulletin Board ("OTCBB") |
| SR-NASD-2005-066 | Proposed Rule Change to Amend NASD Rule 3011 and Adopt New Related Interpretive Material, Specifically IM-3011-1 and IM-3011-2 |
| SR-NASD-2005-064 | Proposed Amendment to IM-8210-2 |
| SR-NASD-2005-063 | Proposed Rule Change to Amend NASD Rule 7010(k) |
| SR-NASD-2005-061 | Proposed Rule Change to Extend for an Additional Two-Year Period NASD's Authority Under the Cease and Desist Pilot Program |
| SR-NASD-2005-058 | Proposed Amendments to NASD Rules 3150 and 3230 |
| SR-NASD-2005-053 | Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program |
| SR-NASD-2005-052 | Proposed Rule Change to Provide Payment to Arbitrators for Deciding Discovery-Related Motions Without a Hearing |