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-1998-033 | Exemption From Fidelity Bonding Requirement |
| SR-NASD-1998-032 | Proposed Rule Excluding Research Reports from Filing Requirements |
| SR-NASD-1998-031 | Supervision of Correspondence |
| SR-NASD-1998-029 | Proposed Rule Relating to Standards for Individual Correspondence |
| SR-NASD-1998-028 | Proposed Rule Relating to Research Reports Approved by NYSE Supervisory Analysts |
| SR-NASD-1998-023 | Amendments to Rule 2860, Options Position Limits |
| SR-NASD-1998-020 | Proposed Rule Change to Rule 11860 to Permit Members to Use the Facilities of a Qualified Electronic Vendor for Electronic Confirmation and Affirmation of Depository Eligible Transactions |
| SR-NASD-1998-019 | Interim Forms and Public Disclosure Program |
| SR-NASD-1998-018 | Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5 |
| SR-NASD-1998-015 | Amendment to Rule 2860(b) Concerning Position and Exercise Limits for FLEX Equity Options |
| SR-NASD-1998-014 | Proposed Rule Relating to Sales Charges and Prospectus Disclosure for Mutual Funds and Variable Contracts |
| SR-NASD-1998-013 | Proposed Rule Change to Clarify That Members of the National Adjudicatory Council May Serve as Panelists in the Appeal or Review of Disciplinary Proceedings |
| SR-NASD-1998-011 | Proposed Rule Relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information |
| SR-NASD-1998-010 | Supervision of Correspondence |
| SR-NASD-1998-007 | Amendment to Rule 10314 to Extend the Time to Answer Arbitration Complaints |
| SR-NASD-1998-004 | Change to Policy on Accepting Claims for Arbitration Involving Exempted Securities |
| SR-NASD-1998-003 | Proposed Rule Change to Rule 1120 |
| SR-NASD-1998-002 | Rule 2860, Option Position Limits: Extension of Hedge Exemption Pilot Program |
| SR-NASD-1997-077 | Proposed Rule Change to Rule 10201 Regarding Arbitration of Employment Discrimination Claims |