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-2002-126 | Pilot Amendment to IM-10100 Arbitration Code Procedure to Require Industry Parties in Arbitration to Waive Application of Contested California Arbitrator Disclosure Standards |
| SR-NASD-2002-124 | Proposed Amendment to Rule 2260 to Expand the Definition of "Designated Investment Adviser" |
| SR-NASD-2002-112 | Proposed Amendments to Rule 3070 Requiring Members To File Copies Of Criminal and Civil Complaints and Arbitration Claims with NASD |
| SR-NASD-2002-110 | Proposed Registration Category for Proctors of In-Firm Delivery of the Regulatory Element |
| SR-NASD-2002-108 | Business Continuity Plans and Emergency Contact Information |
| SR-NASD-2002-103 | Proposed Rule Change to NASD Interpretive Material 8310-2 (IM-8310-2) |
| SR-NASD-2002-100 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
| SR-NASD-2002-099 | Revisions to By-Laws Regarding Gross Income Assessments and Personnel Assessments |
| SR-NASD-2002-098 | Revisions to By-Laws Regarding the Regulatory Fee and the SEC Section 31 Transaction Fee |
| SR-NASD-2002-097 | Proposed Rule Change Relating to the Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2002-087 | To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports |
| SR-NASD-2002-074 | Amendment to Correct Research Analyst Rule Language |
| SR-NASD-2002-070 | Proposed Amendments to NASD Rules Regarding Replacement Hearing Officers' Authority to Participate in Hearing Panel Decisions |
| SR-NASD-2002-069 | Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites |
| SR-NASD-2002-063 | Proposed Fees for the Trade Reporting and Compliance Engine ("TRACE") for Corporate Bonds |
| SR-NASD-2002-062 | Amending Code of Arbitration Procedure to Conform Rule 10314(b) to the Current Minimum Standard Applicable to Claims |
| SR-NASD-2002-052 | Revisions to Series 22 Examination Program |
| SR-NASD-2002-051 | Revisions to Series 55 Examination Program |
| SR-NASD-2002-050 | Revisions to Series 39 Examination Program |
| SR-NASD-2002-049 | Revisions to Series 82 Examination Program |
| SR-NASD-2002-048 | Revisions to Series 27 Examination Program |
| SR-NASD-2002-047 | Revisions to Series 28 Examination Program |
| SR-NASD-2002-046 | Amendments to Trade Reporting and Compliance Engine Rules (TRACE Rules) |
| SR-NASD-2002-040 | Security Futures Rules |
| SR-NASD-2002-038 | Replacement of Arbitrator Under Rule 10313 Upon Disqualification or Other Disability of an Arbitrator |