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-2003-057 | Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) |
| SR-NASD-2003-055 | Proposed Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. |
| SR-NASD-2003-045 | Margin Rule for Security Futures Contracts |
| SR-NASD-2003-041 | Proposal to Disseminate Up to Thirty Additional Corporate Bonds Under Trade Reporting and Compliance Engine Rules ("TRACE Rules") |
| SR-NASD-2003-036 | Amendments to NASD Rule 2340 |
| SR-NASD-2003-031 | Margin Rule for Security Futures Contracts |
| SR-NASD-2003-026 | Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee |
| SR-NASD-2003-025 | Proposed Temporary Fee Reductions and Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE) |
| SR-NASD-2003-024 | Proposed Amendments to the NASD Registration Rules |
| SR-NASD-2003-019 | Proposed Rule Change to NASD Interpretive Material 2260 (IM-2260) |
| SR-NASD-2003-018 | Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-013 | Proposed Interpretive Material Regarding the Use of Investment Analysis Tools |
| SR-NASD-2003-009 | Fees Relating to the NASD Alternative Display Facility |
| SR-NASD-2003-007 | Proposed Amendments to Membership Application Rules |
| SR-NASD-2003-001 | Refund of Member Surcharges in Arbitration |
| SR-NASD-2002-185 | Proposed Amendments to the NASD Registration Rules |
| SR-NASD-2002-182 | Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee |
| SR-NASD-2002-180 | Proposed Rule Change Regarding Prohibition Against Guarantees and Sharing in Customer Accounts |
| SR-NASD-2002-176 | Proposed Rule Change and Renewal on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE) |
| SR-NASD-2002-174 | Proposed Amendments to Rule 6200 Series to Increase Dissemination |
| SR-NASD-2002-171 | Amendment to NASD's Minor Rule Violation Plan |
| SR-NASD-2002-168 | Proposed Rule 2130 Governing Expungement of Customer Dispute Information From the Central Registration Depository (CRD System) |
| SR-NASD-2002-167 | Amendments to NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE) |
| SR-NASD-2002-166 | Margin Rule Amendments for Security Futures Contracts |
| SR-NASD-2002-162 | Proposed Supervisory Control Amendments |