FINRA Contact System Review

FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and By-Laws. Designated firm contacts are used to facilitate voting in FINRA elections, compliance with various rules and By-Laws, and to improve FINRA’s communication with our member firms.

FINRA Rule 4517 requires firms to:

• update all contact information required by FINRA via FCS promptly upon any material change;
• review and verify contact information annually; and
• comply promptly with any request for contact information.

Firms must complete an annual verification of their contact information within 17 business days after the end of each calendar year.

To ensure optimal delivery of FINRA email communications, please add our domain to your safe-sender list within your email application. View instructions on how to add our domain to your email application.