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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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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-FINRA-2018-028 | Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement |
| SR-FINRA-2018-027 | Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations |
| SR-FINRA-2018-026 | Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance |
| SR-FINRA-2018-025 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2018-024 | Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement |
| SR-FINRA-2018-023 | Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities |
| SR-FINRA-2018-022 | Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2018-021 | Proposed Rule Change Relating to District Committee Structure and Governance |
| SR-FINRA-2018-020 | Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security” |
| SR-FINRA-2018-019 | Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference |
| SR-FINRA-2018-018 | Proposed Rule Change Relating to Statutory Disqualification Application Fees |
| SR-FINRA-2018-017 | Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2018-016 | Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions |
| SR-FINRA-2018-015 | Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent |
| SR-FINRA-2018-014 | Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities |
| SR-FINRA-2018-013 | Proposed Rule Change Relating to the Establishment of a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc. |
| SR-FINRA-2018-012 | Proposed Rule Change to Eliminate the Fee for an Explained Decision |
| SR-FINRA-2018-011 | Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination |
| SR-FINRA-2018-010 | Proposed Rule Change to Revise the Securities Trader (Series 57) Examination |
| SR-FINRA-2018-009 | Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination |
| SR-FINRA-2018-008 | Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination |
| SR-FINRA-2018-007 | Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination |
| SR-FINRA-2018-006 | Proposed Rule Change to Revise the Operations Professional (Series 99) Examination |
| SR-FINRA-2018-005 | Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations |
| SR-FINRA-2018-004 | Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination |