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-1999-001 | 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 |
| SR-NASD-1998-087 | Amendment to Corporate Financing Filing Fees |
| SR-NASD-1998-086 | Corrections to By-Law Cross-References |
| SR-NASD-1998-082 | Fee Rate Change Relative to the Review of Advertising |
| SR-NASD-1998-081 | Proposed Exception From the Corporate Financing Rule for Offerings by Charitable Organizations |
| SR-NASD-1998-080 | Establishing Procedures to Enable NASD Regulation to Issue Temporary Cease and Desist Orders |
| SR-NASD-1998-078 | Options Position Limits Hedge Exemption Pilot Program |
| SR-NASD-1998-076 | Change of Effective Date for SR-NASD-98-29-Amendments Relating to Standards for Individual Correspondence |
| SR-NASD-1998-075 | Rule Requiring Certain NASD Members to Conduct or to Participate in Year 2000 Testing |
| SR-NASD-1998-074 | Amendments to Rule 3110(f) Governing Predispute Arbitration Agreements With Customers |
| SR-NASD-1998-069 | Amendment to Interpretive Material Regarding Mutual Fund Breakpoint Sales |
| SR-NASD-1998-064 | Arbitrator List Selection Method for Intra-Industry Disputes |
| SR-NASD-1998-058 | Proposed Change to NASD Rules to Eliminate the Requirement for Personal Service of Decisions in Cases Involving Bars and Expulsions |
| SR-NASD-1998-057 | Proposed Change to NASD Membership and Registration, Investigation and Sanctions, Conduct and Code of Procedure Rules |
| SR-NASD-1998-054 | SOES/SelectNet Access |
| SR-NASD-1998-052 | Review of Incoming, Non-electronic Correspondence with the Public |
| SR-NASD-1998-051 | Microcap Initiative - Amendments to NASD Rules 6530 and 6540 |
| SR-NASD-1998-048 | Proposed Rule Change to Amend the Method of Selecting Arbitrators in Customer Disputes |
| SR-NASD-1998-046 | Technical Corrections to Delegation Plan and IM-1000-4 |
| SR-NASD-1998-045 | Supervision of Correspondence |