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Latest Notices, Guidance and Alerts
Regulatory Notice
Final Statements Now Available for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Election Notice
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments
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2026 FINRA Annual Regulatory Oversight Report
Insight into findings from FINRA’s regulatory operations programs.
The National Financial Capability Study Investor Survey
The latest NFCS Investor Survey explores U.S. investors’ behaviors, attitudes, knowledge and experiences. Key findings include fewer Americans becoming new investors compared to the pandemic era, as well as insights on finfluencer use, changes in risk tolerance and gaps in investor knowledge.
