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-2000-070 | Amendment to Effective Date of Phase Three of Order Audit Trail System Rules |
| SR-NASD-2000-069 | Limited Representative - Private Securities Offerings |
| SR-NASD-2000-068 | Proposed Rule Change to Amend Uniform Practice Code Rule 11870(e) |
| SR-NASD-2000-065 | Proposed Amendments to Rule 10334 (Large and Complex Case Rule) to Accelerate Expiration of the Rule from August 1, 2002 to December 31, 2000 - Immediate Effectiveness Requested. |
| SR-NASD-2000-064 | In-Firm Delivery of the Regulatory Element of the Continuing Education Requirements |
| SR-NASD-2000-058 | Transactions Involving Association and American Stock Exchange Employees |
| SR-NASD-2000-055 | Delivery of a Margin Disclosure Statement to Non-Institutional Customers |
| SR-NASD-2000-053 | Amendment to Effective Date of Phase Three of Order Audit Trail System Rules |
| SR-NASD-2000-042 | Recording and Reporting Requirements for Certain Quotation Data |
| SR-NASD-2000-040 | Mandatory Decimalization Pricing Testing |
| SR-NASD-2000-039 | Amendment to Schedule A of the NASD By-Laws for the Timely Filing of Reports, and Amendments to IM-9216, Minor Rule Violation Plan |
| SR-NASD-2000-038 | Application of Rules of the Association and Interpretive Materials thereunder to Certain Exempted Securities |
| SR-NASD-2000-036 | Amendments to Options Rules |
| SR-NASD-2000-034 | Amendments to Rules 10308 and 10312 Concerning the Authority of the Director of Arbitration to Remove Arbitrators for Cause |
| SR-NASD-2000-033 | Amendment to NASD Rule 3340 to Prohibit Publication of Quotations in a Security |
| SR-NASD-2000-025 | Extension of Time to Pass Series 55 Examination, Equity Trader |
| SR-NASD-2000-024 | Confirmation Disclosure of Callable Common Stock |
| SR-NASD-2000-023 | Amendments to Order Audit Trail System Rules |
| SR-NASD-2000-020 | Amendments to Rule 2320(g) and Rule 3110(b) |
| SR-NASD-2000-015 | Margin Rule Amendments Relating to Options Positions |
| SR-NASD-2000-013 | Disclosure of Values for Direct Participation Program and Real Estate Investment Trust Securities on Customer Account Statements |
| SR-NASD-2000-012 | Amendments to Rules Governing Member Communications With the Public |
| SR-NASD-2000-011 | Proposed Rule Change Relating to Mediation Fee Structure |
| SR-NASD-2000-009 | Amendment to Effective Date of Phase Three of Order Audit Trail System Rules |
| SR-NASD-2000-008 | Margin Rule Amendments Relating to Non-Equity Securities and Exempt Accounts |