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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.
NASDR has filed with the SEC a proposed rule change to Rule 10335 of the Code of Arbitration Procedure of the NASD to extend the effectiveness of the rule for six months.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 18.72 KB | |
| Approval Order | PDF - 19.62 KB |