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-2001-047 | Rules 3115 and 3340 - Audit Trail and Trading Halt Requirements for Security Futures |
| SR-NASD-2001-046 | Mandatory Electronic Filing of Public Offerings |
| SR-NASD-2001-026 | Series 82 Examination Program |
| SR-NASD-2001-023 | Revisions to Series 24 and 62 Examination Programs; Immediate Effectiveness Requested |
| SR-NASD-2001-022 | Revisions to Series 26 Examination Program; Immediate Effectiveness Requested |
| SR-NASD-2001-021 | Amendments to NASD Code of Arbitration Procedure to Modify Certain Provisions Relating to the Assessment and Payment of Fees |
| SR-NASD-2001-020 | Notice to Members on the Suitability Rule and Online Communications |
| SR-NASD-2001-019 | Reporting Requirements for Clearing Members |
| SR-NASD-2001-013 | Amendments to the By-Law Definitions of Broker and Dealer |
| SR-NASD-2001-008 | Proposal to Limit Enforcement of Predispute Arbitration Agreements by Terminated or Suspended Members |
| SR-NASD-2001-006 | Amendment to Composition of NASD Board |
| SR-NASD-2000-077 | Proposed Rule Change to Amend Rule 1022(b), Rule 1022(c) (FINOP and Introducing FINOP Registration Requirements) and Rule 9610(a) (Procedures for Exemptive Relief) |
| SR-NASD-2000-075 | Extension of Effectiveness of Pilot Injunctive Relief Rule |
| SR-NASD-2000-070 | Amendment to Effective Date of Phase Three of Order Audit Trail System Rules |
| SR-NASD-2000-069 | Limited Representative - Private Securities Offerings |
| SR-NASD-2000-068 | Proposed Rule Change to Amend Uniform Practice Code Rule 11870(e) |
| SR-NASD-2000-065 | Proposed Amendments to Rule 10334 (Large and Complex Case Rule) to Accelerate Expiration of the Rule from August 1, 2002 to December 31, 2000 - Immediate Effectiveness Requested. |
| SR-NASD-2000-064 | In-Firm Delivery of the Regulatory Element of the Continuing Education Requirements |
| SR-NASD-2000-058 | Transactions Involving Association and American Stock Exchange Employees |
| SR-NASD-2000-055 | Delivery of a Margin Disclosure Statement to Non-Institutional Customers |
| SR-NASD-2000-053 | Amendment to Effective Date of Phase Three of Order Audit Trail System Rules |
| SR-NASD-2000-042 | Recording and Reporting Requirements for Certain Quotation Data |
| SR-NASD-2000-040 | Mandatory Decimalization Pricing Testing |
| SR-NASD-2000-039 | Amendment to Schedule A of the NASD By-Laws for the Timely Filing of Reports, and Amendments to IM-9216, Minor Rule Violation Plan |
| SR-NASD-2000-038 | Application of Rules of the Association and Interpretive Materials thereunder to Certain Exempted Securities |