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Latest Notices, Guidance and Alerts
Election Notice
Notice of FINRA Regional Committee Elections and Mailing of Ballots
Regulatory Notice
FINRA Enhances Its Systems to Facilitate Member Compliance With Form U4 Recordkeeping Requirements
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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.
