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 descending | Title |
|---|---|
| SR-FINRA-2017-028 | Proposed Rule Change to Implement a New Electronic Form 211 |
| SR-FINRA-2017-027 | Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities) |
| SR-FINRA-2017-026 | Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017 |
| SR-FINRA-2017-025 | Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator |
| SR-FINRA-2017-024 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2017-023 | Proposed Rule Change to amend FINRA Rule 6730 (Transaction Reporting) to Provide a Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities |
| SR-FINRA-2017-022 | Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”)) |
| SR-FINRA-2017-021 | Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report |
| SR-FINRA-2017-020 | Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution) |
| SR-FINRA-2017-019 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2017-018 | Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities |
| SR-FINRA-2017-017 | Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution) |
| SR-FINRA-2017-016 | Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge |
| SR-FINRA-2017-015 | Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New End-of-Day TRACE Transaction File |
| SR-FINRA-2017-014 | Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2017-013 | Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail |
| SR-FINRA-2017-012 | Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities |
| SR-FINRA-2017-011 | Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail |
| SR-FINRA-2017-010 | Proposed Rule Change to Amend Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program |
| SR-FINRA-2017-009 | Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration |
| SR-FINRA-2017-008 | Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123 |
| SR-FINRA-2017-007 | Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements |
| SR-FINRA-2017-006 | Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program |
| SR-FINRA-2017-005 | Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program |
| SR-FINRA-2017-004 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |