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Latest Notices, Guidance and Alerts
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
Election Notice
Call for Candidates for Upcoming FINRA Regional Committee Elections
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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