| Latest Selected Updates |
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Notices |
26-06 |
2026-03-02 |
FINRA Requests Comment on Modernizing FINRA Arbitration Rules, Guidance and Processes |
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Notices |
26-05 |
2026-02-27 |
FINRA Adopts Amendments to Rule 3220 (Influencing or Rewarding Employees of Others) |
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Notices |
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2026-02-06 |
Reducing Burdens and Providing Guidance on the Use of Negative Consent for the Bulk Transfer or Assignment of Customers’ Accounts |
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Notices |
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2026-01-08 |
FINRA Requests Comment on Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud |
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News Releases |
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2026-01-06 |
FINRA Announces Appointment of Four New Board Governors |
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Notices |
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2026-01-02 |
Final Statements Now Available for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches |
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Notices |
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2025-12-29 |
FINRA Amends Annual Reports Extension of Time Request Policy |
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Notices |
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2025-12-16 |
FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments |
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News Releases |
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2025-12-09 |
FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm Compliance |
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Notices |
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2025-12-09 |
FINRA Adopts Amendments to the Arbitration Codes to Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on Their Age or Health Condition |
