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Directories

The SRO/State Regulators's Directory provides a listing of state regulators' offices so that firms may obtain information related to state-specific broker/dealer filing requirements.

A list of service bureaus is provided for firms that may elect to use one.

FINRA does not endorse or recommend any of the service bureaus on this list, which is intended to be used as a resource, and may not contain the names of all such service providers.

Electing to use a service bureau does not relieve a member of its regulatory responsibilities, including the timely submission of complete and accurate registration-related filings.

• SRO/State Regulators' Directory
• Service Bureaus

If member firms have any questions or comments, please contact the Gateway Call Center at (301) 590-6500.