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Latest Notices, Guidance and Alerts

Regulatory Notice
FINRA Highlights Available Guidance and Resources Related to Regulation Best Interest
Information Notice
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving

2023 Report on FINRA’s Examination and Risk Monitoring Program

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

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