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-2003-097 | Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE) |
| SR-NASD-2003-095 | Amendments to Rule 10308 and 10312 of the NASD Code of Arbitration Procedure Governing Arbitrator Classification |
| SR-NASD-2003-094 | Technical Amendment to NASD Rule 2210 |
| SR-NASD-2003-093 | Proposed Rule Change to By-Laws Regarding the Trading Activity Fee |
| SR-NASD-2003-092 | Borrowing from or Lending to Customers |
| SR-NASD-2003-091 | Series 23 Examination Program |
| SR-NASD-2003-079 | To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports |
| SR-NASD-2003-078 | Proposed Amendment to Rule 6230 to Reduce Reporting Period |
| SR-NASD-2003-075 | Proposed Amendments Regarding Requests for Underwriting Activity Reports |
| SR-NASD-2003-074 | Proposed Rule Change Regarding Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties |
| SR-NASD-2003-073 | Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee |
| SR-NASD-2003-069 | Proposed Rule Change Regarding Failure to Pay Arbitration Awards |
| SR-NASD-2003-068 | Amendments to the Non-Cash Compensation Provisions of NASD Rule 2710 (Corporate Financing) and Rule 2810 (Direct Participation Programs) |
| SR-NASD-2003-067 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2003-065 | Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee |
| SR-NASD-2003-064 | Extension of Pilot Rule in IM-10100(f) and (g) of the Code of Arbitration Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards, upon the Request of Customers or Associated Persons with Claims of Statutory Employment Discrimination |
| SR-NASD-2003-057 | Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) |
| SR-NASD-2003-055 | Proposed Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. |
| SR-NASD-2003-045 | Margin Rule for Security Futures Contracts |
| SR-NASD-2003-041 | Proposal to Disseminate Up to Thirty Additional Corporate Bonds Under Trade Reporting and Compliance Engine Rules ("TRACE Rules") |
| SR-NASD-2003-036 | Amendments to NASD Rule 2340 |
| SR-NASD-2003-031 | Margin Rule for Security Futures Contracts |
| SR-NASD-2003-026 | Revisions to NASD By-Laws Extending Existing Pilot Program for the Regulatory Fee and the Trading Activity Fee |
| SR-NASD-2003-025 | Proposed Temporary Fee Reductions and Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE) |
| SR-NASD-2003-024 | Proposed Amendments to the NASD Registration Rules |