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-2002-002 | Rule Change to Amend NASD Code of Procedure Rule 9522 |
| SR-NASD-2001-095 | Adoption of Interpretive Material Regarding Interfering with the Transfer of Customer Accounts |
| SR-NASD-2001-091 | To Establish Effective Date of Debt Securities Reporting and Dissemination Rules (Rule 6200 Series) |
| SR-NASD-2001-090 | Notice of Proposed Rule Change Relating to NASDAQ Separation from the NASD and the Establishment of the NASD Alternative Display Facility |
| SR-NASD-2001-085 | Amendments to NASD Rule 3370, Affirmative Determination Requirements |
| SR-NASD-2001-074 | Amendments to NASD Regulation, Inc. By-Laws |
| SR-NASD-2001-070 | Amendments to Rule 2320(g) and Rule 3110(b)(2) Relating to Foreign Securities and Institutional Orders |
| SR-NASD-2001-062 | Amendment to NASD Code of Arbitration Procedure Rule 10333 Relating to Member Surcharges, and Hearing and Prehearing Process Fees; Immediate Effectiveness Requested; and Notice of Withdrawal of SR-NASD-2001-52 |
| SR-NASD-2001-058 | Proposed Rule Change to Amend NASD Code of Procedure Rule 9216 and NASD Code of Procedure Rule 9270 |
| SR-NASD-2001-057 | Amendments to NASD Regulation, Inc. By-Laws |
| SR-NASD-2001-053 | Proposed Rule Change to Amend Uniform Practice Code Rule 11870(c) and Rule 11870(d) |
| SR-NASD-2001-049 | Amendment to Expiration Date of Rules Relating to Bond Mutual Fund Volatility Ratings |
| SR-NASD-2001-047 | Rules 3115 and 3340 - Audit Trail and Trading Halt Requirements for Security Futures |
| SR-NASD-2001-046 | Mandatory Electronic Filing of Public Offerings |
| SR-NASD-2001-026 | Series 82 Examination Program |
| SR-NASD-2001-023 | Revisions to Series 24 and 62 Examination Programs; Immediate Effectiveness Requested |
| SR-NASD-2001-022 | Revisions to Series 26 Examination Program; Immediate Effectiveness Requested |
| SR-NASD-2001-021 | Amendments to NASD Code of Arbitration Procedure to Modify Certain Provisions Relating to the Assessment and Payment of Fees |
| SR-NASD-2001-020 | Notice to Members on the Suitability Rule and Online Communications |
| SR-NASD-2001-019 | Reporting Requirements for Clearing Members |
| SR-NASD-2001-013 | Amendments to the By-Law Definitions of Broker and Dealer |
| SR-NASD-2001-008 | Proposal to Limit Enforcement of Predispute Arbitration Agreements by Terminated or Suspended Members |
| SR-NASD-2001-006 | Amendment to Composition of NASD Board |
| SR-NASD-2000-077 | Proposed Rule Change to Amend Rule 1022(b), Rule 1022(c) (FINOP and Introducing FINOP Registration Requirements) and Rule 9610(a) (Procedures for Exemptive Relief) |
| SR-NASD-2000-075 | Extension of Effectiveness of Pilot Injunctive Relief Rule |