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-FINRA-2018-014 | Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities |
| SR-FINRA-2018-013 | Proposed Rule Change Relating to the Establishment of a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc. |
| SR-FINRA-2018-012 | Proposed Rule Change to Eliminate the Fee for an Explained Decision |
| SR-FINRA-2018-011 | Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination |
| SR-FINRA-2018-010 | Proposed Rule Change to Revise the Securities Trader (Series 57) Examination |
| SR-FINRA-2018-009 | Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination |
| SR-FINRA-2018-008 | Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination |
| SR-FINRA-2018-007 | Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination |
| SR-FINRA-2018-006 | Proposed Rule Change to Revise the Operations Professional (Series 99) Examination |
| SR-FINRA-2018-005 | Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations |
| SR-FINRA-2018-004 | Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination |
| SR-FINRA-2018-003 | Proposed Rule Filing Relating to Simplified Arbitration |
| SR-FINRA-2018-002 | Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination |
| SR-FINRA-2018-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2017-036 | Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules |
| SR-FINRA-2017-035 | Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2017-034 | Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements |
| SR-FINRA-2017-033 | Proposed Rule Change to Amend Rule 7730 to Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File |
| SR-FINRA-2017-032 | Proposed Rule Change to Make Permanent the TRACE Exemption in FINRA Rule 6730(e)(4) |
| SR-FINRA-2017-031 | Proposed Rule Change to Amend FINRA Rule 6121 to Reflect Recent Amendments to the Regulation NMS Plan to Address Extraordinary Market Volatility |
| SR-FINRA-2017-030 | Proposed Rule Change to Amend Section 13 of Schedule A to the FINRA By-Laws Relating to the Review Charges for Communications Filed with or Submitted to FINRA |
| SR-FINRA-2017-029 | Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 |
| SR-FINRA-2017-028 | Proposed Rule Change to Implement a New Electronic Form 211 |
| SR-FINRA-2017-027 | Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities) |
| SR-FINRA-2017-026 | Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017 |