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Latest Notices, Guidance and Alerts
Regulatory Notice
FINRA Enhances Its Systems to Enable Members to Provide Associated Persons With Uniform Registration Form and Predispute Arbitration Information Through FinPro Gateway
Information Notice
FINRA Reminds Registered Persons and Firms of Continuing Education Requirements
Rule Amendment
FINRA Adopts Exemption From FINRA Rules 5130 and 5131 for Business Development Companies
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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.
