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FINRA Utility Menu

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FINRA DATA

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.

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  1. Rules & Guidance
  2. Rule Filings
SR-NASD-2005-058

Proposed Amendments to NASD Rules 3150 and 3230

NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 3150 and 3230 governing the reporting of data to clearing firms by correspondent firms.

Title Format - Size Status
Text of Proposed Rule Change PDF - 58.84 KB
Amendment No. 1 to Proposed Rule Change PDF - 197.24 KB
Federal Register Notice PDF - 57.98 KB
Approval Order PDF - 55.44 KB
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