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Latest Notices, Guidance and Alerts

Information Notice
New Rate for Fees Paid Under Section 31 of the Exchange Act
Request for Comment
FINRA Requests Comment on Modernizing FINRA Rules, Guidance, and Processes for the Organization and Operation of Member Workplaces

2025 FINRA Annual Regulatory Oversight Report

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

2025 report