Regulatory Updates

FINRA Regulatory Updates

Stay current with the latest FINRA rulemaking, regulatory notices, enforcement actions, and guidance for broker-dealers.

Regulatory Notice Jun 11, 2026

FINRA Board Approves Making Remote Inspections Permanent and Modernizing Residential Supervisory Locations

At its June 2026 meeting, the FINRA Board of Governors approved advancing proposals to make the Remote Inspections Pilot Program permanent before it expires and to modernize Residential Supervisory Location requirements. Both still require an SEC rule filing before taking effect.

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Rulemaking May 26, 2026

FINRA Proposes Amending Rule 2210 to Permit Performance Projections; SEC Institutes Proceedings

FINRA filed SR-FINRA-2026-004 to add an exception to Rule 2210's ban on performance projections, allowing members to communicate projected performance or targeted returns to both retail and institutional audiences subject to conditions. On May 26, 2026 the SEC instituted proceedings (Release 34-105524) to decide whether to approve or disapprove; the matter remains pending.

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Rulemaking Jan 22, 2026

FINRA Files Proposal to Consolidate Outside Activities Rules into New Rule 3290

FINRA filed SR-FINRA-2026-001 to adopt new Rule 3290 (Outside Activities Requirements) and delete Rules 3270 and 3280, consolidating outside business activities and private securities transactions into a single, risk-focused framework. The filing remains pending before the SEC.

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Guidance Dec 9, 2025

FINRA Publishes 2026 Annual Regulatory Oversight Report

FINRA released its 2026 Annual Regulatory Oversight Report on December 9, 2025, adding a first-ever standalone Generative AI section and elevating cyber-enabled fraud, third-party/vendor risk, crypto, and small-cap manipulative trading among its examination focus areas.

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Regulatory Notice Aug 14, 2025

FINRA Reminds Firms of 2025 Continuing Education Requirements Under Rule 1240

A FINRA Information Notice reminded firms that 2025 Regulatory Element courses were due by December 31, 2025 via the Financial Professional Gateway, with non-completion triggering "CE inactive" status, and announced updated registration groupings including a new Limited Sales Representative category.

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Guidance Jul 14, 2025

FINRA Publishes GenAI Resources for Member Firms

FINRA released a resource cataloging how member firms use generative AI (top use case: summarization and information extraction), reinforcing that FINRA rules are technology-neutral and that Regulatory Notice 24-09 remains the governing guidance.

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Guidance Apr 21, 2025

FINRA Launches "FINRA Forward" Rule Modernization Initiative

FINRA announced "FINRA Forward," a three-pillar initiative to modernize rules, support member-firm compliance, and combat cyber and fraud, launched alongside a series of 2025 Regulatory Notices (25-04 through 25-07) requesting comment on modernizing member-firm rules.

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Guidance Jan 16, 2025

FINRA Publishes 2025 Annual Regulatory Oversight Report

FINRA released its 2025 annual report highlighting examination and risk-monitoring priorities including Reg BI compliance, off-channel communications, cybersecurity, and crypto asset developments. It has since been superseded by the 2026 report published December 9, 2025.

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Enforcement Dec 5, 2024

FINRA Continues Off-Channel Communications Enforcement Actions

FINRA continued its enforcement focus on off-channel communications in 2024, issuing significant fines against firms for failures to supervise and retain business communications on personal devices and unapproved messaging platforms.

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Guidance Nov 15, 2024

FINRA Guidance on Social Media and Digital Communications Under Rule 2210

FINRA addressed questions about social media advertising, influencer arrangements, and interactive digital content under Rule 2210 communications standards, reinforcing that all digital communications must meet existing advertising requirements.

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Regulatory Notice Oct 15, 2024

FINRA Report on Cybersecurity Practices for Broker-Dealers

FINRA published guidance on cybersecurity expectations for member firms, covering incident response planning, third-party vendor oversight, customer notification standards, and emerging threats.

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Guidance Sep 28, 2024

FINRA Shares Reg BI Examination Findings and Best Practices

FINRA published observations from Reg BI examinations, including common deficiencies in care obligation documentation, conflict disclosure, and account type recommendations for retail customers.

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Regulatory Notice Aug 20, 2024

FINRA Rule 1240 Continuing Education: Annual Regulatory Element Updates

FINRA updated content for the annual Regulatory Element of the continuing education program, reflecting current regulatory developments in Reg BI, AML, and cybersecurity for registered representatives.

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