Summary of issues FINRA will focus on this year

FINRA provides tools, templates, and other resources for firms with 150 or fewer registered representatives.

FINRA has also established theSmall Firm Advisory Committee (SFAC)to advise FINRA leadership and the Board of Governors.

Updates: May 2019 FINRA Board of Governors Meeting

FINRA administers a dispute resolution forum for investors, brokerage firms, and their registered employees in the U.S. through its network of 71 hearing locations, including at least one in each state and Puerto Rico.

Investor Complaint CenterFile a complaint about fraud or unfair practices.

Whistleblower Tip-Line866-96-FINRA or[emailprotected]

Small Firm Helpline833-26-FINRA () (M to F 9-5 ET)

Office of the OmbudsmanReport a concern about FINRA. (888) 700-0028

File a Regulatory TipTo report on abuse or fraud in the industry.