Contacting our Board of Governors
Any person who wishes to communicate with the Board of Governors, including the Chairperson, any committee of the Board, or any Governors, either individually or as a group, may send correspondence to:
or
FINRA Board of Governors
c/o: Office of the Corporate Secretary
1700 K Street, NW
Washington, DC 20006
The correspondence should indicate for whom the communication is intended.
All such communications received are reviewed by the Office of the Corporate Secretary and may be summarized as appropriate. Commercial mail, general solicitations, and communications that are vulgar, abusive, incoherent or unrelated to the duties and responsibilities of the Board will not be communicated to the Board or its members. Substantive communications that are appropriate for Board review or consideration will be referred to the Chairman or CEO, and may be forwarded to the Board or any Governor or committee of the Board as appropriate.
Reporting Other Concerns
FINRA is committed to conducting its activities in the highest ethical and professional manner in compliance with all applicable laws, rules, accounting standards and controls and audit practices. Communications received related to complaints about, or potential illegal or unethical conduct by, FINRA (and which are not otherwise appropriate for Board review) may be forwarded to the FINRA Office of the Ombuds. Any person who has a concern, inquiry or complaint regarding staff conduct, or would otherwise like to communicate regarding FINRA’s accounting, internal accounting controls, or auditing matters, may communicate (anonymously, if preferred) directly to the FINRA Office of the Ombuds. The FINRA Ombuds reports directly to the Audit and Risk Committee of the Board of Governors and functions independently from other departments and FINRA management.
Additionally, any person with information about potentially fraudulent, illegal or unethical activity by any firm or person in the securities industry (i.e., other than FINRA) is encouraged to submit a regulatory tip through FINRA’s File a Regulatory Tip Form.