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-2003-194 | Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-193 | Amendments to Reduce Fee for Regulatory Element of Continuing Education Program |
| SR-NASD-2003-192 | Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws |
| SR-NASD-2003-190 | Interpretations in a Forthcoming Notice to Members Describing Rule 2790 |
| SR-NASD-2003-186 | Administration of Qualification Examinations on Security Futures |
| SR-NASD-2003-184 | Review and Update of Member Executive Representative Designation and Contact Information |
| SR-NASD-2003-183 | Proposed Amendments to Rule 1120 Regarding Regulatory Element Contact Person |
| SR-NASD-2003-182 | Proposed Amendments to "TRACE-Eligible Security" and an Exemption to Trade Reporting |
| SR-NASD-2003-181 | Proposed Rule Change To Expressly State NASD's Authority to Suspend Quotations of ADF Market Participants |
| SR-NASD-2003-177 | Technical Amendments to Interpretative Material 3130 (IM-3130) |
| SR-NASD-2003-176 | Chief Executive Officer and Chief Compliance Officer Certification Proposal |
| SR-NASD-2003-175 | Proposed Amendments to Repeal Rule 4613A(e)(1) Requiring Same-Priced Quotations on Multiple Markets |
| SR-NASD-2003-168 | Release of Information Through the Public Disclosure Program |
| SR-NASD-2003-166 | Amendments to Schedule B to the NASD By-Laws |
| SR-NASD-2003-164 | Three-Day Adjournment Rule |
| SR-NASD-2003-163 | Voluntary Direct Communication Between Parties and Arbitrators |
| SR-NASD-2003-158 | Reorganization and Revision of NASD Rules Relating to Customer Disputes |
| SR-NASD-2003-157 | Permanent Approval of Fees for the Trade Reporting and Compliance Engine (TRACE) |
| SR-NASD-2003-153 | Amendment to 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-2003-151 | Online Arbitration Case Filing Pilot Program |
| SR-NASD-2003-148 | Amendment to NASD's Minor Rule Violation Plan and Late Fee Provision |
| SR-NASD-2003-147 | Amendment to the Delegation Plan to Remove NASDAQ Representation of NASD under the UTP Plan |
| SR-NASD-2003-145 | Proposed Rule Change to Give Authority to NASD's Market Regulation Committee to Review Alternative Display Facility System Outage and Denial of Excused Withdrawal Determinations |
| SR-NASD-2003-144 | 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-2003-141 | Additional Mark-Up Policy for Transactions in Debt Securities |