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Latest Notices, Guidance and Alerts

Exemptive Letter
Regulatory Notice
Amendments to the Arbitration Codes to Make Various Clarifying and Technical Changes
Regulatory Notice
FINRA Adopts FINRA Rule 3110.19 (Residential Supervisory Location) and FINRA Rule 3110.18 (Remote Inspections Pilot Program), and Announces End of Temporary Relief Related to Updates of Office Information on Forms U4 and BR

2024 FINRA Annual Regulatory Oversight Report

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

2024 Report