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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.
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-FINRA-2020-025 | Proposed Rule Change to Amend Security Futures Risk Disclosure Statement |
| SR-FINRA-2020-024 | Proposed Rule Change to Delete the FINRA Order Audit Trail System (OATS) Rules |
| SR-FINRA-2020-023 | Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) |
| SR-FINRA-2020-022 | Proposed Rule Change to Further Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 |
| SR-FINRA-2020-021 | Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds |
| SR-FINRA-2020-020 | Proposed Rule Change to Adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer) |
| SR-FINRA-2020-019 | Proposed Rule Change to Temporarily Extend the Time to Complete Office Inspections under FINRA Rule 3110 (Supervision) |
| SR-FINRA-2020-018 | Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) |
| SR-FINRA-2020-017 | Proposed Rule Change to Extend the Effective Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 from June 15, 2020 to July 31, 2020 |
| SR-FINRA-2020-016 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2020-015 | Proposed Rule Change to Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules During the Outbreak of the Coronavirus Disease (COVID-19) |
| SR-FINRA-2020-014 | Proposed Rule Change to Amend FINRA Rule 9231 to Provide for the Compensation of All Panelists that Serve in Connection with a FINRA Disciplinary Hearing |
| SR-FINRA-2020-013 | Proposed Rule Change to Add FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) to FINRA’s Minor Rule Violation Plan (“MRVP”) |
| SR-FINRA-2020-012 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Allow the Dissemination of IAPD Information through BrokerCheck |
| SR-FINRA-2020-011 | Proposed Rule Change to Address Brokers with a Significant History of Misconduct |
| SR-FINRA-2020-010 | Proposed Rule Change to Provide Members with Additional Time to Comply with the Amendments Adopted by SR-FINRA-2019-014 |
| SR-FINRA-2020-009 | Proposed Rule Change to Amend FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) Concerning the Resumption of Trading Following a Level 3 Market-wide Circuit Breaker Halt |
| SR-FINRA-2020-008 | Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2020-007 | Proposed Rule Change to FINRA’s Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest |
| SR-FINRA-2020-006 | Proposed Rule Change to Modify the Trade Reporting Fees Applicable to Participants that Use the FINRA/NYSE Trade Reporting Facility |
| SR-FINRA-2020-005 | Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information |
| SR-FINRA-2020-004 | Proposed Rule Change to Eliminate Transaction Credits and Trade Reporting Fees Applicable to Retail Participants that Use the FINRA/Nasdaq Trade Reporting Facility |
| SR-FINRA-2020-003 | Proposed Rule Change to Extend the Effective Date of SR-FINRA-2018-030 |
| SR-FINRA-2020-002 | Proposed Rule Change to Amend FINRA Rule 11900 (Clearance of Corporate Debt Securities) to Except Certain Transactions in Corporate Debt Securities |
| SR-FINRA-2020-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |