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Latest Notices, Guidance and Alerts
Regulatory Notice
FINRA Adopts Amendments to Rule 6730 (Transaction Reporting) to Streamline Allocation Reporting for BD/IAs
Regulatory Notice
FINRA Adopts Amendments to the Arbitration Codes to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection Process
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2025 FINRA Annual Regulatory Oversight Report
Insight into findings from recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement 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.
