Instructions for Using Survey Monkey
The 2013 Risk Control Assessment (RCA) is being administered through Survey Monkey, a Web-based third-party survey application. Executive representatives of member firms are scheduled to receive emails on May 6, 2013, with unique links to access the RCA survey. Individuals who serve as executive representatives to multiple firms should have received an email for each firm they represent. These links are unique to the firms that the surveys are intended for. As such, you should not share these links with individuals outside of the organization.
We have also made available PDF versions of the survey for firms that are unable to access the Survey Monkey version.
Your survey responses will only be accessible by FINRA employees who are authorized to view them. The information requires both server authentication and data encryption, thereby ensuring that user data is safe, secure and available only to these authorized persons.
Firms with firewall rules and Internet security in place may block messages from Survey Monkey. If your firm has this level of security, please have your IT department grant access to www.surveymonkey.com and www.research.net and allow all of its sub-domains.
You may also need your IT department to allow the following IP addresses listed below. This should allow the RCA survey message from Survey Monkey not to be blocked by your servers.
Please also make sure your firm’s network does not automatically send the RCA message to a spam or junk folder. Please check the spam or junk folder of your mailbox and look for the email with the subject “2013 FINRA Risk Control Assessment” coming from email@example.com; on behalf of RCA@FINRA.org via research.net <firstname.lastname@example.org>. If using Microsoft Outlook, you can right-click on the email to mark it as “not spam” or “not junk” and move it to your Inbox.
If your firm is not able to access the Web-based RCA survey, we have made available Adobe PDF versions of the survey for your convenience (visit resources section of the main RCA page to use a PDF version). It is recommended that you use the latest version of Adobe Reader to view the document. When responding to the survey via the PDF version, please make sure to first save the PDF document to your local computer, and then save frequently while populating the survey to prevent loss of information. Please note that all questions marked with an asterisk require responses. As the PDF version does not allow for dynamic skip logic, you will see instructions embedded in the survey prompting you to skip certain questions that would not pertain to your firm. Finally, upon completing the survey, please save your responses and send your completed survey to RCA@finra.org. Please do not “print to PDF” or scan the survey before emailing it to RCA@finra.org.
The survey is designed to dynamically update questions with embedded skip logic based on how you respond (i.e. if you indicate in the survey that a retail business is not a materially significant aspect of your business, your survey will bypass the retail-related questions).
If you encounter questions where the available response options don’t completely describe or could lead to a potential misinterpretation of your firm’s business, please use your best judgment. The results of this analysis will not be used to try and “catch” firms, nor are the questions designed to trick respondents. FINRA is seeking to better understand the businesses that your firm is materially engaged in. In this regard, firms should use their best judgment and select the answer choice that is the closest match. Many questions include comment boxes—please use them to elaborate on your answers wherever necessary.
Questions with radio buttons only allow one selection as an answer choice.
Questions with check box answer choices allow multiple selections. The questions will state “(Select all that apply).” Please select all applicable answer choices. If a comment box is provided, you have the option to enter additional comments at your discretion.
In the Firm Product Mix section, if your firm does not engage in any of the products listed, simply check the first “None of the above apply to my firm” box, leave the rest of the options unchecked and move on to the next question.
If a text box does not appear to be large enough to contain your comments, you can expand the comment box by dragging on the bottom right corner of the comment box.
You will see the following message at the bottom of each screen of your survey: “Please print this page for your records prior to moving on to the next page.” If you would like to print a copy of your survey responses for your records, please make sure to click the link at the bottom of each page before moving on to the next page. A pop-up window will appear with printing prompts. Please enable the option to print “background colors and images” in your browser when printing. See instructions below by browser:
Note: Due to technical limitations, the survey can only be printed one page at a time. Based on firm feedback, we will seek to permit functionality in the 2014 RCA that allows printing of the entire document at one time.
A pop-up window will appear after you click on the “print” link at the bottom of the survey page. On the left panel under “Options,” please check off “Background colors and images” prior to printing.
In the top left corner, click on the “Firefox” tab. This will give you a dropdown menu. Select “Print” and click on “Page Setup…” This will open a “Page Setup” pop-up window.
Under the “Format & Options” tab, please check off “Print Background (colors & images)”
Right-click anywhere within the browser window. This will give you a dropdown menu. Select “Print Preview.” This will open a “Print Preview” pop-up window. On the top menu bar, click on the Setup icon to open the “Page Setup” pop-up window. Please select “Print Background Colors and Images.”
Safari (for Mac users)
A pop-up window will appear after you click on the “print” link at the bottom of the survey page. Towards the bottom right corner of the pop-up window, please check off “Print backgrounds.”
The abbreviations and numbering preceding the questions is a unique numbering system (i.e. FBA 1, RG 1). If you have any questions about the survey, please reference these abbreviations and numbering when contacting the FINRA Help Desk for assistance.
You can use the “Previous” and “Save and Continue” buttons located toward the bottom of the screen to navigate the survey and modify responses. The “Save and Continue” button allows you to save and quit if you need to return to the survey at a different time or pass it on to others at your firm. Until you submit the survey (see the next section, “Submitting the Survey”), you can revisit any question to make changes. Important: Please do not use the Forward and Back buttons on your browser to navigate the survey; this may result in a loss of survey answers that you have not yet saved.
The progress bar toward the top of your screen will inform you of approximately how much of the survey you have completed.
At the end of the survey, you will be prompted to confirm that you have completed the survey. If you select “Submit Survey as Completed” and click “Submit Survey,” you will not have any other opportunities to review or modify your survey responses.
For key terms that may have ambiguous interpretations, definition links have been embedded into the survey for your convenience. A phrase or key word will appear as blue text. Hover your cursor over the blue text to view the definition.
The RCA, by intent, addresses multiple business areas within the firm. As such, firms are encouraged to identify the most qualified resources within the firm to respond to designated sections of the RCA. The executive representative will serve as the primary point of contact for the firm in gathering survey responses, and may need to forward the survey link to other departments within the organization. In order to do so, make sure to click the “Save and Continue” button at the bottom of the screen. This will bring you to the next page of the survey. At this point, simply forward the original email that includes the survey link to the appropriate resource(s). Please note, however, that if multiple individuals are simultaneously modifying the survey, the last person to save his or her edits will overwrite changes made by other individuals.
If you have additional questions or concerns, please contact the Help Desk for clarification at (240) 386-4001 or visit the Frequently Asked Questions page.