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-2009-030 | Proposed Rule Change to Amend Rule 6440 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information |
| SR-FINRA-2009-029 | Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure) |
| SR-FINRA-2009-028 | Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-027 | Proposed Rule Change to Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011 |
| SR-FINRA-2009-026 | Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes |
| SR-FINRA-2009-025 | Proposed Rule Change to Amend Incorporated NYSE Rules 2, 2A and 325 to Conform to Amendments Made by NYSE |
| SR-FINRA-2009-024 | Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions |
| SR-FINRA-2009-023 | Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-022 | Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings) |
| SR-FINRA-2009-021 | Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265 |
| SR-FINRA-2009-020 | Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws |
| SR-FINRA-2009-019 | Proposed Rule Change to Adopt FINRA Rules 1010 (Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-018 | Proposed Rule Change to Adopt FINRA Rule 2342 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-017 | Proposed Rule Change to Adopt FINRA Rule 3250 (Designation of Accounts) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-016 | Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-015 | Proposed Rule Change to Adopt Rule 13806 of the Code of Arbitration Procedure for Industry Disputes to Establish Procedures to Expedite the Administration of Promissory Note Cases |
| SR-FINRA-2009-014 | Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rule Book |
| SR-FINRA-2009-013 | Proposed Rule Change to Amend Rules 12206 and 13206 of the Customer and Industry Codes |
| SR-FINRA-2009-012 | Proposed Rule Change Relating to Margin Requirements for Certain Transactions in Credit Default Swaps |
| SR-FINRA-2009-011 | Proposed Rule Change to Amend the Industry Code to Change the Criteria for Determining the Panel Composition When the Claim Involves an Associated Person in Industry Disputes |
| SR-FINRA-2009-010 | Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions |
| SR-FINRA-2009-009 | Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook |
| SR-FINRA-2009-008 | Proposed Rule Change to Amend Form U4, Form U5 and FINRA Rule 8312 |
| SR-FINRA-2009-007 | Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 and Delete Incorporated NYSE Rule 177 to Conform with Amendments by the NYSE to its Versions of Rules 12, 177 and 282 |
| SR-FINRA-2009-006 | Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals |