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-2002-046 | Amendments to Trade Reporting and Compliance Engine Rules (TRACE Rules) |
| SR-NASD-2002-040 | Security Futures Rules |
| SR-NASD-2002-038 | Replacement of Arbitrator Under Rule 10313 Upon Disqualification or Other Disability of an Arbitrator |
| SR-NASD-2002-028 | Fees Relating to the NASD Alternative Display Facility |
| SR-NASD-2002-027 | Proposed Rule Change to NASD Rule 3070 |
| SR-NASD-2002-024 | Anti-Money Laundering Compliance Programs |
| SR-NASD-2002-021 | Rule Regarding Research Analyst Conflicts of Interest |
| SR-NASD-2002-015 | Default Procedures for Claims against Terminated Members and Associated Persons |
| SR-NASD-2002-012 | Proposed Rule Change to Subordination Agreement Requirements |
| SR-NASD-2002-011 | Amendments to Rule 2260 to Require Broker-Dealers to Forward Communications Regarding Debt Securities to Beneficial Owners |
| SR-NASD-2002-005 | 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-2002-004 | Amendments to the Taping Rule |
| SR-NASD-2002-003 | Amendment to Relieve Registered Representatives Serving in Armed Forces from Continuing Education Requirements |
| SR-NASD-2002-002 | Rule Change to Amend NASD Code of Procedure Rule 9522 |
| SR-NASD-2001-095 | Adoption of Interpretive Material Regarding Interfering with the Transfer of Customer Accounts |
| SR-NASD-2001-091 | To Establish Effective Date of Debt Securities Reporting and Dissemination Rules (Rule 6200 Series) |
| SR-NASD-2001-090 | Notice of Proposed Rule Change Relating to NASDAQ Separation from the NASD and the Establishment of the NASD Alternative Display Facility |
| SR-NASD-2001-085 | Amendments to NASD Rule 3370, Affirmative Determination Requirements |
| SR-NASD-2001-074 | Amendments to NASD Regulation, Inc. By-Laws |
| SR-NASD-2001-070 | Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities and Institutional Orders |
| SR-NASD-2001-062 | Amendment to NASD Code of Arbitration Procedure Rule 10333 Relating to Member Surcharges, and Hearing and Prehearing Process Fees; Immediate Effectiveness Requested; and Notice of Withdrawal of SR-NASD-2001-52 |
| SR-NASD-2001-058 | Proposed Rule Change to Amend NASD Code of Procedure Rule 9216 and NASD Code of Procedure Rule 9270 |
| SR-NASD-2001-057 | Amendments to NASD Regulation, Inc. By-Laws |
| SR-NASD-2001-053 | Proposed Rule Change to Amend Uniform Practice Code Rule 11870(c) and Rule 11870(d) |
| SR-NASD-2001-049 | Amendment to Expiration Date of Rules Relating to Bond Mutual Fund Volatility Ratings |