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Printer-Friendly FINRA Web Privacy Policy

FINRA has created this security and privacy statement in order to demonstrate and communicate its commitment to the privacy of the users of FINRA's Web sites and to conducting business with the highest ethical standards and appropriate internal controls. The following discloses FINRA's information gathering and dissemination policies for the FINRA Web site:

Collection and Dissemination of Personal Information

FINRA's Web sites may receive and maintain information such as user name, email address, telephone number and other personal information only when such information is personally submitted by users through an optional request form such as the request for more information form or the FINRA survey form. These forms and the information provided within the forms allow users to make specific inquiries or requests of FINRA or provide FINRA with feedback on its Web sites or services. Information gathered via this site is not shared with third parties unless the involved individual requests such sharing or unless disclosure is required by law. FINRA does not sell personal information to third parties for commercial purposes.

FINRA's Web sites do not capture information regarding the specific activities of any particular user. They do, however, produce reports that allow us to view activity in anonymous aggregated form. FINRA does not use JavaScript, cookies, web bugs, or any other active content mechanism to capture or maintain information about users without the user's prior consent and the purpose of maintaining this information is solely to improve the user experience in working on our site. The only personal information we capture has been specifically submitted to us through an optional form.

FINRA reserves the right to disclose user information in special circumstances, where FINRA believes that the disclosure of such information is necessary to identify or contact someone who may be interfering with or violating FINRA's rights or property or other users or to protect or enforce FINRA's rights or obligations. FINRA may also disclose user information when such disclosure is required by law or regulation.

IP Addresses

FINRA Web sites log IP addresses and browser types for administrative purposes. FINRA reviews such logs in order to improve the content and functionality of the Web sites. FINRA may also use such logs to identify or contact someone who may be interfering with or violating FINRA's rights or property or other users or to protect or enforce FINRA's rights or obligations.

Third Party Links

FINRA Web sites may contain links to other sites, some of which are not owned by FINRA. FINRA is not responsible for the security or privacy practices of non-FINRA sites, the products or services offered by such sites, or the content appearing at such sites. Likewise, FINRA does not endorse any of the products or services marketed at non-FINRA sites.

FINRA prohibits the framing of any materials available through the FINRA Web sites and unauthorized hypertext links to FINRA's Web sites. FINRA reserves the right to disconnect or otherwise disable any unauthorized frames or hypertext links.

Regulatory Policy

Certain FINRA Web sites, such as Web CRD/IARD E-Pay, require an authorized user (FINRA Members or FINRA Member Firms) to input personal information in order to fulfill a regulatory requirement. FINRA shall use such information consistent with its regulatory mission and its role as a member association. Such personal information may be made public or shared with third parties, consistent with FINRA's role as a self-regulatory organization.

Information Security

FINRA Web sites are protected with a variety of security measures such as change control procedures, passwords, and physical access controls. FINRA also employs a variety of other mechanisms to protect a user's data from being lost, misused, or altered inappropriately. These controls include data confidentiality policies and regular database backups. Although FINRA takes these measures to safeguard against unauthorized use of a user's data, FINRA cannot control Internet transmissions and cannot provide assurances that personal information transmitted to FINRA will never be compromised.

Policy Changes

FINRA reserves the right to modify or update this Privacy Policy or other terms and conditions of use of the FINRA Web sites at any time by updating the relevant link. Any modifications or updates shall be effective upon posting to the FINRA Web site(s).

Contact Information

FINRA
Attn: Privacy Policy - OGC
1735 K Street
Washington, D.C. 20006

Email: Privacy Policy