Filing a Regulatory Tip

If you are aware of unfair practices or specific instances of abusive conduct, FINRA wants to know about it immediately. Often, violations of our rules and the federal securities regulations come to light through the receipt and investigation of regulatory tips from members of the industry and other industry professionals.

 

You have several options when filing a regulatory tip:

 

  • You can use our online regulatory tip form or
  • You can mail or fax a tip to FINRA at the following address:

    FINRA – Regulatory Tips
    1735 K Street, NW
    Washington, DC 20006-1500
    Fax: (866) 397-3290
     

Investor Complaints:  Investors should file their complaint via the online FINRA Investor Complaint Center.


FINRA may find it useful to contact you for the purposes of verifying the information provided and soliciting additional information. While anonymous regulatory tips will be accepted and reviewed, their value may be diminished if FINRA is unable to conduct this additional inquiry.

 

It is requested that you provide a brief summary of the significant types of abusive conduct and/or rule violations that:

  • You believe to have taken place;
  • You believe may now be occurring, and/or
  • You believe may be about to occur.

 

To the extent possible, provide the names of the involved parties, their roles and their relationships, the securities associated with this matter, and the time periods or dates applicable to these events.

 

If you are in possession of written materials or other documentation that supports your tip, FINRA staff will ask for this information following the receipt and review of your tip.

 

All regulatory tip information received will be treated in confidence to the fullest extent possible. FINRA, however, cannot guarantee that during the course of a related investigation or possible prosecution of the matter that the identity or documents of the source of a regulatory tip will not become known.