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Latest Notices, Guidance and Alerts
Election Notice
FINRA Announces Upcoming NAC Election and Nomination Process to Fill Small Firm Vacancy
Information Notice
FINRA Reminds Registered Persons and Firms of Continuing Education Requirements
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.
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