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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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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-2005-089 | 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 |
| 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 |