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Latest Notices, Guidance and Alerts

Regulatory Notice
2024 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Regulatory Notice
FINRA Adopts Amendments to Enhance Post-Trade Transparency in the U.S. Treasury Securities Market
Regulatory Notice
FINRA Adopts Amendments to Conform its Rules to the T+1 Settlement Cycle
Special Notice
FINRA Encourages Engagement in Advisory Committees

2024 FINRA Annual Regulatory Oversight Report

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

2024 Report