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.
This rule is no longer applicable. NASD Rule 1110 has been superseded by FINRA Rule 1200 Series. Please consult the appropriate FINRA Rule.
| SR-NASD-2003-24 removed Rule 1113 eff. Mar. 3, 2003. SR-NASD-2003-24 replaced Rule 1111 with Rule 1022(h) eff. Mar. 3, 2003. SR-NASD-97-23 replaced Rule 1112 with Rule 1032(g) eff. April 1, 1998. Rule Series originally adopted by SR-NASD-88-12 eff. Nov. 2, 1988. Selected Notice: 03-20. |