Ombuds - Informal

Our role is informal in nature.  We do not make business or policy decisions for FINRA or participate in formal processes such as disciplinary or personnel actions.  Where an established process currently exists, our role is limited to informing visitors of the existence of the process, explaining it in general terms, directing the visitor to the appropriate entity, and monitoring the outcome.  Ombuds will assist parties in identifying and evaluating options for positive actions and will remain neutral and informal in doing so.