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-2006-088 | A Proposed Rule Change to Adopt Rule 12504 of the Proposed Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13504 of the Proposed Code of Arbitration Procedure for Industry Disputes ("Industry Code") to Address Motions to Decide Claims Before a Hearing on the Merits. |
| SR-NASD-2006-087 | Proposed Rule Change to Amend NASD Rule 5110 and to Make Technical, Non-Substantive Changes to Certain Other NASD Rules Amended by Approved Rule Change SR-NASD-2005-087 |
| SR-NASD-2006-086 | Revisions to the Series 55 Examination Program. |
| SR-NASD-2006-085 | Revisions to the Series 39 Examination Program. |
| SR-NASD-2006-084 | Revisions to the Series 28 Examination Program. |
| SR-NASD-2006-083 | Revisions to the Series 27 Examination Program. |
| SR-NASD-2006-082 | Revisions to the Series 22 Examination Program. |
| SR-NASD-2006-081 | Proposed Rule Change to Adopt New NASD Rule 5150 to Require an NASD Member That is Registered as a Nasdaq Market Maker in a Non-Nasdaq Exchange-Listed Security to Comply with NASD Rule 5262 Relating to Trade-Throughs With Respect to that Security. |
| SR-NASD-2006-076 | Proposed Rule Change to Exempt All Securities Included in the NASDAQ 100 Index from the Price Test Set Forth in NASD Rule 5100 (Formerly Rule 3350) |
| SR-NASD-2006-074 | Amendments Relating to the Issuer-Directed Securities Exemption in NASD Rule 2790 |
| SR-NASD-2006-073 | Proposed Rule Change to Amend Interpretive Material 2210-4 Regarding Hyperlinks to NASD's Web Site |
| SR-NASD-2006-071 | Proposed Rule Change Relating to Technical Amendments to Rule 3210 |
| SR-NASD-2006-070 | Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions |
| SR-NASD-2006-069 | Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals. |
| SR-NASD-2006-066 | Proposal to Amend Rule 2340 to Relieve Members from the Requirement to Send Quarterly Account Statements to Customer Accounts that are Carried on a DVP/RVP Basis |
| SR-NASD-2006-065 | Proposed Rule Change to Amend Schedule A to the NASD By-Laws Regarding Branch Office Fees |
| SR-NASD-2006-064 | Proposal to Adopt New NASD Rule 3160 Relating to Extension of Time Requests |
| SR-NASD-2006-063 | Amendment to Section 8 of Schedule A to NASD By-Laws to Increase the Service Charge for Processing Extension of Time Requests |
| SR-NASD-2006-062 | Amendment to Rule 6957(c) to Revise the Effective Date for Recent Amendments to NASD's Order Audit Trail System Rules |
| SR-NASD-2006-060 | Proposal to Adopt Rule 3170 Regarding Electronic Filing of All Regulatory Notices or Documents as Specified by NASD |
| SR-NASD-2006-055 | Proposed Amendments to Section 3 of Schedule A to the NASD By-Laws to Require the Reporting of Transactions Subject to a Regulatory Transaction Fee in an Automated Manner |
| SR-NASD-2006-052 | Rule Change to Revise the Effective Date of Certain Amendments to NASD's Order Audit Trail System Rules |
| SR-NASD-2006-050 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2006-046 | Technical Amendments to Rule 3080 Regarding Disclosures to Associated Persons When Signing Form U-4 |
| SR-NASD-2006-045 | Amendments to Rules 2520 and 2522 to Recognize Additional Complex Option Spread Strategies and Amend Provisions for Permitted Offsets |