Regulatory Updates

FINRA Regulatory Updates

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

Guidance Jan 16, 2025

FINRA Publishes 2025 Annual Regulatory Oversight Report

FINRA released its annual report highlighting examination and risk monitoring priorities for 2025, including Reg BI compliance, off-channel communications, cybersecurity, and crypto asset developments.

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.

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.

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.

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.

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.

Get FINRA Updates in Your Inbox

Subscribe to receive FINRA regulatory updates as they happen.

Never miss a FINRA regulatory change

Compliance Approved monitors FINRA rulemaking and alerts you when changes affect your firm.

Join the Waitlist Book a Demo