FINRA Utility Menu

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.

For Case Participants

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

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FINRA Manual
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Interpreting the Rules
The Rulemaking Process
Enforcement
Adjudication & Decisions
- National Adjudicatory Council (NAC)
- Office of Hearing Officers (OHO)

Status

Node: field_core_official_dt (year)

Year

Rule Filing Number Sort ascending	Title
SR-NASD-1998-003	Proposed Rule Change to Rule 1120
SR-NASD-1998-002	Rule 2860, Option Position Limits: Extension of Hedge Exemption Pilot Program
SR-NASD-1997-077	Proposed Rule Change to Rule 10201 Regarding Arbitration of Employment Discrimination Claims