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Latest Notices, Guidance and Alerts
Regulatory Notice
FINRA Adopts Amendments to the Arbitration Codes to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection Process
Information Notice
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Information Notice
SEC Amendments Relating to Electronic Filing for Annual Reports and Changes to FOCUS Reports
Regulatory Notice
FINRA Adopts Amendments to Extend the Trade Reporting Facilities Operating Hours
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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.
