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-2004-163 | Extension of Pilot for Bond Trade Dissemination Service ("BTDS") Professional Delayed-Time Data Display Fee |
| SR-NASD-2004-160 | Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2004-159 | Proposed Rule Change to Allow NASD to Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility |
| SR-NASD-2004-153 | Options Position Limits - Exemption for OTC Derivatives Dealers |
| SR-NASD-2004-148 | Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness) |
| SR-NASD-2004-145 | Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations) |
| SR-NASD-2004-141 | Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows |
| SR-NASD-2004-137 | Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information |
| SR-NASD-2004-136 | Treatment of Commodity Pool Trail Commissions under Rule 2810 |
| SR-NASD-2004-135 | Disclosure and Consent Requirements When Trading on a Net Basis With Customers |
| SR-NASD-2004-133 | Proposed Amendments to Rule 9522 |
| SR-NASD-2004-130 | Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities |
| SR-NASD-2004-129 | Proposed Rule Change Relating to Section 3 of Schedule A to the NASD By-Laws; Filed for Immediate Effectiveness |
| SR-NASD-2004-126 | Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested |
| SR-NASD-2004-123 | Proposal to Delete Rule Series 3400 and IM-2210-4(b) as Obsolete |
| SR-NASD-2004-122 | Arbitrator Web Literacy |
| SR-NASD-2004-121 | Amendments to NASD's Minor Rule Violation Plan |
| SR-NASD-2004-116 | Amendments to Supervisory Control and Inspection Procedures Rules |
| SR-NASD-2004-115 | Amendments to Reduce the Fee for the Regulatory Element of Continuing Education Program |
| SR-NASD-2004-112 | Proposed Extension of the Pilot Relating to Manning Price-Improvement Standards for Decimals |
| SR-NASD-2004-111 | Amendments to Supervisory Control and Inspection Procedures Rules |
| SR-NASD-2004-110 | Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange |
| SR-NASD-2004-108 | Treatment of Commodity Pool Trail Commissions under Rule 2810 |
| SR-NASD-2004-100 | Amendments to the Rule 9600 Series; Filed for Immediate Effectiveness |
| SR-NASD-2004-098 | Proposed Amendments to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements |