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-FINRA-2014-011 | Proposed Rule Change to Amend FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11) |
| SR-FINRA-2014-010 | Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices) |
| SR-FINRA-2014-009 | Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority |
| SR-FINRA-2014-008 | Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution |
| SR-FINRA-2014-007 | Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility |
| SR-FINRA-2014-006 | Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPPs and REITs |
| SR-FINRA-2014-005 | Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding |
| SR-FINRA-2014-004 | Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) |
| SR-FINRA-2014-003 | Proposed Rule Change to Amend FINRA’s Corporate Financing Rules to Simplify and Refine the Scope of the Rules |
| SR-FINRA-2014-002 | Proposed Rule Change to Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq) |
| SR-FINRA-2014-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2013-056 | Proposed Rule Change to Amend FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) |
| SR-FINRA-2013-055 | Proposed Rule Change to Amend FINRA Rule 2360 (Options) Position Limits |
| SR-FINRA-2013-054 | Proposed Rule Change Relating to Capacity Management Plan |
| SR-FINRA-2013-053 | Proposed Rule Change to Update the Rules Governing the Alternative Display Facility |
| SR-FINRA-2013-052 | Proposed Rule Change Relating to Alternative Display Facility New Entrant |
| SR-FINRA-2013-051 | Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR) |
| SR-FINRA-2013-050 | Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting |
| SR-FINRA-2013-049 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2013-048 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures that are Permanently Available in BrokerCheck |
| SR-FINRA-2013-047 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes |
| SR-FINRA-2013-046 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities |
| SR-FINRA-2013-045 | Proposed Rule Change to Revise the Series 6 Examination Program |
| SR-FINRA-2013-044 | Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member |
| SR-FINRA-2013-043 | Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data |