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-2016-028 | Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility |
| SR-FINRA-2016-027 | Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine |
| SR-FINRA-2016-026 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2016-025 | Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education |
| SR-FINRA-2016-024 | Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) |
| SR-FINRA-2016-023 | Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions |
| SR-FINRA-2016-022 | Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators. |
| SR-FINRA-2016-021 | Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports |
| SR-FINRA-2016-020 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2016-019 | Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook |
| SR-FINRA-2016-018 | Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools) |
| SR-FINRA-2016-017 | Proposed Rule Change to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |
| SR-FINRA-2016-016 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2016-015 | Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset. |
| SR-FINRA-2016-014 | Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures |
| SR-FINRA-2016-013 | Proposed Rule Change to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |
| SR-FINRA-2016-012 | Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (NextShares)) |
| SR-FINRA-2016-011 | Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities |
| SR-FINRA-2016-010 | Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) |
| SR-FINRA-2016-009 | Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) |
| SR-FINRA-2016-008 | Proposed Rule Change to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) |
| SR-FINRA-2016-007 | Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies |
| SR-FINRA-2016-006 | Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information) |
| SR-FINRA-2016-005 | Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities |
| SR-FINRA-2016-004 | Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) |