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-2005-046 | Proposed Rule Change to Amend the Arbitration Fees Applicable to Certain Statutory Employment Discrimination Claims |
| SR-NASD-2005-045 | Proposed Rule Change to Amend NASD Rule 3110(f)(2)(B) |
| SR-NASD-2005-043 | Proposed Rule Change to Provide an Exemption From the Research Analyst Qualification Examination for Certain Associated Persons |
| SR-NASD-2005-040 | Proposed Rule Change to Amend Rule 2860 |
| SR-NASD-2005-033 | Proposed Amendment to Rule 3010(b)(2)(L) Relating to Taping Rule "Opt Out" and Exemption Provisions |
| SR-NASD-2005-032 | Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons |
| SR-NASD-2005-030 | Proposed Form BR (Uniform Branch Office form) Conforming Changes and Technical Revisions to the Form U4 and Form U5 |
| SR-NASD-2005-026 | Proposed Rule change to Amend NASD Rule 7010(k) Relating to Transaction Reporting and Compliance Engine (TRACE) Transaction Data and Data Fees |
| SR-NASD-2005-025 | Revisions to the Series 4 Examination Program |
| SR-NASD-2005-023 | Proposed Rule Change Amends Rule 10316 and Adopts Rule 10408 of the NASD Code of Arbitration Procedure to Address Attorney Representation in Arbitration and Mediation |
| SR-NASD-2005-022 | Proposed Rule Change to Provide an Exemption from the Research Analyst Qualification Examination for Certain Associated Persons Who Prepare Technical Research Reports |
| SR-NASD-2005-021 | Guidance Regarding Members' Regulatory Transaction Fees |
| SR-NASD-2005-015 | Proposed Revisions to the Series 55 Examination Program |
| SR-NASD-2005-014 | Proposed Revisions to the Series 11 Examination Program |
| SR-NASD-2005-011 | Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB |
| SR-NASD-2005-007 | Proposed Rule Change to Amend the Code of Arbitration Procedure by Adopting a New Interpretive Material (IM) 10308 on Mediators Serving as Arbitrators |
| SR-NASD-2005-005 | Proposed Rule 2342 Requiring Members to Provide Customers with SIPC's Web Site and Telephone Number |
| SR-NASD-2005-004 | Proposed Amendment to Rule 3010(a)(7) to Require Registered Principals to Attend Annual Compliance Meetings |
| SR-NASD-2005-001 | Proposed Rule Change to Amend NASD Rule 3360 in Light of the SEC Regulation SHO |
| SR-NASD-2004-189 | Proposed Rule Change to Amend Rule 7010(k) |
| SR-NASD-2004-183 | Proposed New Rule 2821 Regarding Transactions in Deferred Variable Annuities |
| SR-NASD-2004-180 | Proposed Rule Change to Extend the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the California Waiver Program Until September 30, 2005 |
| SR-NASD-2004-179 | Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Materials Filed With or Submitted to NASD |
| SR-NASD-2004-178 | Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD |
| SR-NASD-2004-177 | Proposed Rule Change To Amend Section 7 of Schedule A to the NASD By-Laws to Adjust Fees for Filing Documents Pursuant to the Corporate Financing Rule |