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-2004-178 | Proposed Rule Change to Amend Section 13 of Schedule A to the NASD By-Laws to Adjust the Review Charge for Advertisement, Sales Literature, and Other Such Material Filed With or Submitted to NASD |
| SR-NASD-2004-177 | Proposed Rule Change To Amend Section 7 of Schedule A to the NASD By-Laws to Adjust Fees for Filing Documents Pursuant to the Corporate Financing Rule |
| SR-NASD-2004-176 | Proposed Rule Change to Extend Through June 30, 2005, the Current Pilot Price-Improvement Standards for Decimalized Securities Contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order |
| SR-NASD-2004-175 | Proposed Rule Change to Repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in Light of SEC Regulation SHO |
| SR-NASD-2004-174 | Proposed Amendment to Rule 2212 (Telemarketing) Regarding the Frequency of Updates from the National Do-Not-Call Registry |
| SR-NASD-2004-171 | Amendments to Rule 2340 (Customer Account Statements) |
| SR-NASD-2004-165 | Proposed Rule Change Relating to NASD Rule 2790 |
| SR-NASD-2004-164 | Proposed Rule Change to Amend Rule 10308 of the NASD Code of Arbitration Procedure to Change the Method Used by the Neutral List Selection System |
| SR-NASD-2004-163 | Extension of Pilot for Bond Trade Dissemination Service ("BTDS") Professional Delayed-Time Data Display Fee |
| SR-NASD-2004-160 | Proposed Rule Change To Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2004-159 | Proposed Rule Change to Allow NASD to Review on a Pilot Basis Denial of Access Complaints Related to the Alternative Display Facility |
| SR-NASD-2004-153 | Options Position Limits - Exemption for OTC Derivatives Dealers |
| SR-NASD-2004-148 | Proposed Amendment to TRACE Rule 6250 (Dissemination of Transaction Information); Filed for Immediate Effectiveness) |
| SR-NASD-2004-145 | Amendments to Schedule 4 to the NASD By-Laws (Fees for Qualification Examinations) |
| SR-NASD-2004-141 | Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows |
| SR-NASD-2004-137 | Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information |
| SR-NASD-2004-136 | Treatment of Commodity Pool Trail Commissions under Rule 2810 |
| SR-NASD-2004-135 | Disclosure and Consent Requirements When Trading on a Net Basis With Customers |
| SR-NASD-2004-133 | Proposed Amendments to Rule 9522 |
| SR-NASD-2004-130 | Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities |
| SR-NASD-2004-129 | Proposed Rule Change Relating to Section 3 of Schedule A to the NASD By-Laws; Filed for Immediate Effectiveness |
| SR-NASD-2004-126 | Extension of Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Regarding Waiver of California Arbitrator Disclosure Standards; Immediate Effectiveness Requested |
| SR-NASD-2004-123 | Proposal to Delete Rule Series 3400 and IM-2210-4(b) as Obsolete |
| SR-NASD-2004-122 | Arbitrator Web Literacy |
| SR-NASD-2004-121 | Amendments to NASD's Minor Rule Violation Plan |