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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.
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 | Title Sort descending |
|---|---|
| SR-FINRA-2021-024 | Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements) |
| SR-FINRA-2021-023 | Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 |
| SR-FINRA-2021-022 | Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2021-021 | Proposed Rule Change Extending the Expiration Dates of FINRA Rules 0180 and 4240 |
| SR-FINRA-2021-020 | Proposed Rule Change to Amend Form CMA (Continuing Membership Application Form) to Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2020-011 |
| SR-FINRA-2021-019 | Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 |
| SR-FINRA-2021-018 | Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules |
| SR-FINRA-2021-017 | Proposed Rule Change Relating to the Retirement of FINRA’s Order Audit Trail System |
| SR-FINRA-2021-016 | Proposed Rule Change to Amend Rule 2165 (Financial Exploitation of Specified Adults) |
| SR-FINRA-2021-015 | Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) |
| SR-FINRA-2021-014 | Proposed Rule Change Relating to Members’ Filing Requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11) |
| SR-FINRA-2021-013 | Proposed Rule Change to Amend the Supplemental Inventory Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| SR-FINRA-2021-012 | Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) |
| SR-FINRA-2021-011 | Proposed Rule Change to Clarify Rule 1011(p) (Specified Risk Event) |
| SR-FINRA-2021-010 | Proposed Rule Change to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2021-009 | Proposed Rule Change to Adopt a Supplemental Liquidity Schedule, and Instructions Thereto, Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |
| SR-FINRA-2021-008 | Proposed Rule Change Relating to Security-Based Swaps |
| SR-FINRA-2021-007 | Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA’s Corporate Bond New Issue Reference Data Service |
| SR-FINRA-2021-006 | Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 |
| SR-FINRA-2021-005 | Proposed Rule Change to Extend the Effective Date of the Temporary Amendments set forth in SR-FINRA-2020-026 and SR-FINRA-2020-043 |
| SR-FINRA-2021-004 | Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2021-003 | Proposed Rule Change to Permit Firms to File a Form U4 Based on an Electronically Signed Copy of the Form |
| SR-FINRA-2021-002 | Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123 |
| SR-FINRA-2021-001 | Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements |
| SR-FINRA-2020-046 | Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |