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-2002-087 | To Establish Effective Dates For NASD Rule 2711, Research Analysts and Reports |
| SR-NASD-2002-074 | Amendment to Correct Research Analyst Rule Language |
| SR-NASD-2002-070 | Proposed Amendments to NASD Rules Regarding Replacement Hearing Officers' Authority to Participate in Hearing Panel Decisions |
| SR-NASD-2002-069 | Posting of Margin Disclosure and Day-Trading Risk Disclosure Statements on Web Sites |
| SR-NASD-2002-063 | Proposed Fees for the Trade Reporting and Compliance Engine ("TRACE") for Corporate Bonds |
| SR-NASD-2002-062 | Amending Code of Arbitration Procedure to Conform Rule 10314(b) to the Current Minimum Standard Applicable to Claims |
| SR-NASD-2002-052 | Revisions to Series 22 Examination Program |
| SR-NASD-2002-051 | Revisions to Series 55 Examination Program |
| SR-NASD-2002-050 | Revisions to Series 39 Examination Program |
| SR-NASD-2002-049 | Revisions to Series 82 Examination Program |
| SR-NASD-2002-048 | Revisions to Series 27 Examination Program |
| SR-NASD-2002-047 | Revisions to Series 28 Examination Program |
| SR-NASD-2002-046 | Amendments to Trade Reporting and Compliance Engine Rules (TRACE Rules) |
| SR-NASD-2002-040 | Security Futures Rules |
| SR-NASD-2002-038 | Replacement of Arbitrator Under Rule 10313 Upon Disqualification or Other Disability of an Arbitrator |
| SR-NASD-2002-028 | Fees Relating to the NASD Alternative Display Facility |
| SR-NASD-2002-027 | Proposed Rule Change to NASD Rule 3070 |
| SR-NASD-2002-024 | Anti-Money Laundering Compliance Programs |
| SR-NASD-2002-021 | Rule Regarding Research Analyst Conflicts of Interest |
| SR-NASD-2002-015 | Default Procedures for Claims against Terminated Members and Associated Persons |
| SR-NASD-2002-012 | Proposed Rule Change to Subordination Agreement Requirements |
| SR-NASD-2002-011 | Amendments to Rule 2260 to Require Broker-Dealers to Forward Communications Regarding Debt Securities to Beneficial Owners |
| SR-NASD-2002-005 | Proposed Rule Change to Revise Uniform Application for Securities Industry Registration or Transfer (Form U-4) and Uniform Termination Notice for Securities Industry Registration (Form U-5) |
| SR-NASD-2002-004 | Amendments to the Taping Rule |
| SR-NASD-2002-003 | Amendment to Relieve Registered Representatives Serving in Armed Forces from Continuing Education Requirements |