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Latest Notices, Guidance and Alerts
Request for Comment
FINRA Requests Comment on Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud
Podcast
Investors in the United States: Key Trends and Insights from the National Financial Capability Study
Regulatory Notice
Final Statements Now Available for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
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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.
