Member Firm Hub
Latest Notices, Guidance and Alerts
Rule Amendment
FINRA Adopts Amendments to Exempt Specified Collective Trust Funds From FINRA Rules 5130 and 5131
Renewals
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2027
Rule Amendment
FINRA Amends Rules and Updates Interpretations to Address Binary Options
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.
Subscribe for the Latest Information
Weekly digest of recent rule proposals, Notices, guidance and more.
Discussions with FINRA leaders on existing and emerging regulatory topics impacting the broker-dealer industry.
Notices, rule filings and other updates delivered to your RSS reader.