Ombuds - Independence
The Office of the Ombuds functions independently from other FINRA departments and management. It reports directly to the Audit & Risk Committee of FINRA's Board of Governors. The Ombuds provides information to the Audit Committee and executive management — while preserving confidentiality and anonymity — on trends, issues and/or concerns.
The Office is not part of FINRA's management structure and therefore does not make policy, make management decisions or conduct formal investigations. Contacting the Ombuds' Office will not trigger a management review or investigation into the subject matter of the inquiry. If you wish to initiate a formal contact with FINRA, the Ombuds' Office will assist you in identifying the appropriate contact sources.