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-2004-112 | 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 |
| SR-NASD-2004-095 | Policy to Conduct Fingerprint-based Background Checks of NASD Employees and Independent Contractors |
| SR-NASD-2004-094 | Proposed Amendments to TRACE Rule 6250 and Related TRACE Rules to Disseminate Transaction Information on All TRACE-Eligible Securities and Facilitate Dissemination |
| SR-NASD-2004-093 | To Establish a Revised Effective Date For Amendments to Order Audit Trail System Rules Relating to Execution Reports |
| SR-NASD-2004-089 | Proposed Amendments to Require Price Improvement to Limit Orders in Certain Circumstances |
| SR-NASD-2004-088 | Discovery Sanctions Rule; Accelerated Effectiveness Requested |
| SR-NASD-2004-087 | Technical Amendment to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure; Filed for Immediate Effectiveness |
| SR-NASD-2004-084 | Proposal to Amend Rule 2860-Options Rules |
| SR-NASD-2004-078 | Amendment to NASD Rule 1022 to Establish Qualification Requirements for Supervisors of Research Analysts |
| SR-NASD-2004-058 | Proposed Amendments to Rule 11870 Relating to Non-Standard Transfers of Customer Account Assets |
| SR-NASD-2004-057 | Proposed Amendment to Reduce the Reporting Period for Transactions in TRACE-Eligible Securities |
| SR-NASD-2004-049 | Series 86/87 Examination and Development Fees |
| SR-NASD-2004-045 | Proposed Amendments to Require Market Order Protection |
| SR-NASD-2004-044 | Proposed Amendments Relating to Short Sale Delivery Requirements |
| SR-NASD-2004-043 | Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material |
| SR-NASD-2004-042 | Proposed Foreign Hearing Location Rule |
| SR-NASD-2004-040 | 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-2004-039 | Reducing the Time for Chairperson Selection |
| SR-NASD-2004-031 | To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements |
| SR-NASD-2004-027 | Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions |