The Financial Industry Regulatory Authority earlier this year announced that it was opening its rulebook as part of its three-pronged FINRA Forward initiative, launched in late April.
“To serve its mission — promoting investor protection, market integrity, and vibrant capital markets — FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient," FINRA CEO Robert Cook said at the time.
FINRA says its broad review of its rules is intended to modernize requirements, facilitate innovation and eliminate unnecessary burdens.
In addition, the regulator is working with the Securities and Exchange Commission to modify texting settlements that caused unintended problems.
See the gallery for six rule changes and other actions — not all part of FINRA Forward — announced in 2025.
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