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Latest Notices, Guidance and Alerts

Regulatory Notice
FINRA Announces Publication of Updated Interpretations of FINRA’s Margin Rule With Guide to the Updates
Regulatory Notice
FINRA Reminds Members of its Policy Prohibiting Members From Recording FINRA Calls and Meetings

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