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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-FINRA-2019-022 | Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) |
| SR-FINRA-2019-021 | Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements |
| SR-FINRA-2019-020 | Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements |
| SR-FINRA-2019-019 | Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA’s Website |
| SR-FINRA-2019-018 | Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules |
| SR-FINRA-2019-017 | Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) |
| SR-FINRA-2019-016 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) |
| SR-FINRA-2019-015 | Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC |
| SR-FINRA-2019-014 | Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) |
| SR-FINRA-2019-013 | Proposed Rule Change Relating to Rules Addressing the Regulation NMS Plan to Address Extraordinary Market Volatility |
| SR-FINRA-2019-012 | Proposed Rule Change Relating to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes |
| SR-FINRA-2019-011 | Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) |
| SR-FINRA-2019-010 | Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) |
| SR-FINRA-2019-009 | Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules |
| SR-FINRA-2019-008 | Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service |
| SR-FINRA-2019-007 | Proposed Rule Change to Adopt FINRA Rule 7640B (Data Products Offered By NYSE) |
| SR-FINRA-2019-006 | Proposed Rule Change to Amend Capital Acquisition Broker (“CAB”) Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs |
| SR-FINRA-2019-005 | Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2019-004 | Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents |
| SR-FINRA-2019-003 | Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information) |
| SR-FINRA-2019-002 | Proposed Rule Change to Provide Temporary Relief to Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning to Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities |
| SR-FINRA-2019-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2018-043 | Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents |
| SR-FINRA-2018-042 | Proposed Rule Change to Amend FINRA Rules 7610A and 7620A to Modify Certain Fees and Credits Applicable to FINRA/Nasdaq TRF Retail Participants |
| SR-FINRA-2018-041 | Proposed Rule Change to Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) |