Where is FINRA based?
2.1 The address of the registered office of FINRA Regulation in the State of Delaware and the name of the registered agent at such address shall be: Corporation Service Company, 2711 Centerville Road, Suite 400, Wilmington, New Castle County, Delaware 19808.
How do I contact FINRA?
Firms and registered representatives should contact their FINRA Risk Monitoring Analyst or the FINRA Call Center: (301) 590-6500.
How many employees does FINRA?
With more than 3,500 employees nationwide, FINRA is committed to a diverse, high-performance workplace. We recognize that it’s the hard work, passion and dedication of our team that makes FINRA the strong, successful organization it is.
Is FINRA a government job?
Although it has regulatory powers, FINRA is not part of the government. It is a not-for-profit entity and the largest self-regulatory organization (SRO) in the securities industry within the U.S.
Is FINRA a good place to work?
Is FINRA a good company to work for? FINRA has an overall rating of 4.1 out of 5, based on over 837 reviews left anonymously by employees. 88% of employees would recommend working at FINRA to a friend and 85% have a positive outlook for the business. This rating has improved by 1% over the last 12 months.
What FINRA means?
the Financial Industry Regulatory Authority, Inc.
(p) “FINRA” means the Financial Industry Regulatory Authority, Inc.; (q)”FINRA Board” means the FINRA Board of Governors; (r) “FINRA member” means any broker or dealer admitted to membership in FINRA.
What is a complaint FINRA?
Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from the securities industry or other appropriate sanctions.
How do I report FINRA violations?
File a Complaint Use FINRA’s online form to report any potentially fraudulent or suspicious activities by brokerage firms or brokers.
Does FINRA pay well?
How much does FINRA pay per year? The average FINRA salary ranges from approximately $58,441 per year for an Administrative Assistant to $293,639 per year for a Vice President. FINRA employees rate the overall compensation and benefits package 4.1/5 stars.
Is FINRA a good company?
How long does it take to get hired at FINRA?
The Applicant will then have 60 calendar days to fully respond to FINRA’s initial request. To keep the matter moving efficiently, we recommend firms respond as soon as possible and not take the entire 60 days. All subsequent requests and/or responses follow a 30-day timeframe.
What are FINRA requirements?
Minimum FINRA Registration Requirements The FINRA Rule 1010 Series outlines a requirement for each new Applicant for membership, except sole proprietorships, to have at least two registered principals and one Financial and Operations Principal (FinOp).
Who is registered with FINRA?
You must be registered with FINRA if you’re engaged in the securities business of your firm, which includes salespersons, branch managers, department supervisors, partners, officers and directors. You are required to pass qualification exams to demonstrate competence in your particular securities activities.
How do I report a company to FINRA?
What FINRA investigate?
FINRA Enforcement investigates potential securities violations and, when appropriate, brings formal disciplinary actions against firms and their associated persons. Sanctions include restitution, fines, suspensions, and in cases of serious misconduct, bars from the brokerage industry. Learn more. 3.
What constitutes a FINRA complaint?
If you lost money or there was an unauthorized trade made in your account, you should complain in writing. Retain copies of your letter and of all other related correspondence with the brokerage firm. If you are still not satisfied with the firm’s response, you can send a complaint to FINRA.
Do FINRA employees get a pension?
Financial Industry Regulatory Authority(FINRA) Inc. Employees Retirement Plan provides financial security. The Plan offers pension, retirement plans, and various other benefits to its participants. FINRA Employees Retirement Plan serves employees and retirees of the company throughout the United States.
How much do FINRA investigators make?
How much does a Investigator at FINRA make? The typical FINRA Investigator salary is $74,843 per year. Investigator salaries at FINRA can range from $69,831 – $85,916 per year.
How do I contact FINRA for questions?
Call toll-free with questions or concerns about brokerage accounts and investments. A point of contact to address questions about rules, filing deadlines and compliance resources. Reach out for help with identifying the appropriate FINRA contact for assistance, navigating FINRA’s systems or finding online resources, or for general questions.
What is FINRA and how does it work?
FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions, including fines, suspensions and other sanctions. Call toll-free with questions or concerns about brokerage accounts and investments.
What if I have a problem with a FINRA website?
If you encounter a problem with one of FINRA’s websites, please contact our web team. For assistance with checking the background of a broker or brokerage firm, or an investment adviser or investment representative, call the FINRA BrokerCheck Hotline at (800) 289-9999.
How do I contact FINRA education and events?
FINRA Education & Programs. For more information about FINRA’s educational programs and events in the U.S., or to register, please contact us via email or call (800) 321-6273.