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Latest Notices, Guidance and Alerts
Regulatory Notice
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2026
Information Notice
FINRA Reminds Firms That NSCC Has Modified the ACATS Transfer Process
Election Notice
Notice of FINRA Regional Committee Elections and Mailing of Ballots
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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.
