finra

Ombudsman - Independence


The Office of the Ombudsman functions independently from other FINRA departments and management. It reports directly to the Audit Committee of FINRA's Board of Governors. The Ombudsman 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 Ombudsman's 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 Ombudsman's Office will assist you in identifying the appropriate contact sources.