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-1999-054 | Implementation of Single Arbitrator Pilot Program |
| SR-NASD-1999-050 | Removal of Address from Forms U-4 and U-5 |
| SR-NASD-1999-046 | Chief Compliance Officer Registration |
| SR-NASD-1999-045 | Amendments to Interpretation Governing Public Disclosure Program |
| SR-NASD-1999-042 | Proposed Rule Change Relating to Performance Fee Arrangements |
| SR-NASD-1999-041 | Approval Procedures for Day-Trading Accounts |
| SR-NASD-1999-037 | Hard to Borrow List |
| SR-NASD-1999-036 | Amendments to NASD Regulation By-Laws Relating to the Election of Chairs and Vice Chairs of the National Adjudicatory Council. |
| SR-NASD-1999-035 | Amendment To Associated Person Definition |
| SR-NASD-1999-028 | Amendment to Make Electronic Filing Requirement Effective |
| SR-NASD-1999-027 | Extension of Effectiveness of Pilot Injunctive Relief Rule |
| SR-NASD-1999-021 | Creation of a Separate Subsidiary to Administer Dispute Resolution Programs |
| SR-NASD-1999-019 | Amendments to IM-10100 to Facilitate Use of Non-SRO Arbitration Forums |
| SR-NASD-1999-015 | Suspension of NAC Call for Review of Membership Decisions |
| SR-NASD-1999-008 | Amendments to Code of Arbitration Procedure Relating to the Arbitration Process for Claims of Employment Discrimination |
| SR-NASD-1999-007 | Development of a Discovery Guide |
| SR-NASD-1999-005 | Amendments to Rule 2520 (Margin Rules) Relating to Margin for Exempted Borrowers, Good Faith Accounts, Joint Back Office Arrangements and Options Transactions |
| SR-NASD-1999-004 | Microcap Initiative - Proposed Recommendation Rule |
| SR-NASD-1999-002 | SEC Rule 504 Offerings |
| SR-NASD-1999-001 | Simplification of Corporate Financing Filing Fees |
| SR-NASD-1998-097 | Extension of Effectiveness of Pilot Injunctive Relief Rule |
| SR-NASD-1998-096 | Amendments to Forms U-4 and U-5 |
| SR-NASD-1998-092 | Tripling Position Limits for Standardized Equity Options |
| SR-NASD-1998-091 | Amendment to Time Period for Filing Information Requests in Arbitration |
| SR-NASD-1998-090 | Proposed Amendments to the Code of Procedure to Provide for the Office of Disciplinary Affairs of NASD Regulation, Inc. to Authorize All Enforcement Actions |