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Latest Notices, Guidance and Alerts

Regulatory Notice
FINRA Adopts Amendments to Conform its Rules to the T+1 Settlement Cycle
Regulatory Notice
FINRA Adopts Amendments to Improve the Accessibility of Order Routing Disclosures for NMS Securities
Exemptive Letter
Regulatory Notice
Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes

2024 FINRA Annual Regulatory Oversight Report

Insight into findings from recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs.

2024 Report