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-2004-043 | Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material |
| SR-NASD-2004-042 | Proposed Foreign Hearing Location Rule |
| SR-NASD-2004-040 | 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-2004-039 | Reducing the Time for Chairperson Selection |
| SR-NASD-2004-031 | To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements |
| SR-NASD-2004-027 | Proposed Amendment to Rule Relating to Execution of Investment Company Portfolio Transactions |
| SR-NASD-2004-026 | Proposed Amendments to Rule 2320(a), NASD's Best Execution Rule |
| SR-NASD-2004-025 | Amendments to NASD's Minor Rule Violation Plan |
| SR-NASD-2004-023 | Amendments to Order Audit Trail System Rules Relating to Execution Reports |
| SR-NASD-2004-022 | Shelf Offering Amendments |
| SR-NASD-2004-020 | Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts |
| SR-NASD-2004-017 | Series 86/87 Examination Program |
| SR-NASD-2004-016 | Online Arbitration Claim Filing Pilot Program |
| SR-NASD-2004-014 | Proposed Rule Change to Adopt Interpretative Material 3150 ("IM-3150") to Establish Exemptions from the Reporting Requirements of NASD Rule 3150 |
| SR-NASD-2004-013 | Reorganization and Revision of NASD Mediation Rules |
| SR-NASD-2004-012 | Proposed Rule Change to Extend Operation of NASD's Alternative Display Facility as a Temporary Pilot |
| SR-NASD-2004-011 | Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes |
| SR-NASD-2004-010 | To Establish Effective Date for NASD Rule 1050, Registration of Research Analysts |
| SR-NASD-2004-005 | Proposed Rule Change to Amend NASD Rule 2370 |
| SR-NASD-2004-003 | To Establish Effective Date for Recently Amended Provisions of NASD Rule 2711(h)(2) |
| SR-NASD-2004-002 | Amendments to Alternative Display Facility Rules to Require Advance Written Notice of Denial of Direct or Indirect Electronic Access |
| SR-NASD-2004-001 | Proposal to Increase the Fee for Panel Member Training |
| SR-NASD-2003-201 | Amendments to Schedule A of the NASD By-Laws to Adjust the Trading Activity Fee Rate and Add TRACE-Eligible and Municipal Securities as Covered Securities |
| SR-NASD-2003-200 | Technical Amendment to Rule 2130 |
| SR-NASD-2003-197 | To Further Delay Implementation Date of Amendments to Article VIII (District Committees and District Nominating Committees) of the By-Laws of NASD Regulation, Inc. |