FINRA Contact System

What’s New

Changes to the Regulatory Inquiries Role

In an effort to help direct regulatory inquiries and information requests to the appropriate individual, firms are now required to associate a contact with the Regulatory Inquiries Role in FCS. This means that a contact name and the corresponding contact information must be provided for the role. Firms that prefer to triage such inquiries or requests may provide an email address for a specific individual or a central inbox.

For more information please send an email to fcs@finra.org or contact the Gateway Call Center at (301) 866-6699.

Overview

FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and By-Laws. Designated firm contacts are used to facilitate voting in FINRA elections, compliance with various rules and By-Laws, and to improve FINRA's communication with our member firms.

FINRA Rule 4517 requires firms to:

  • update all contact information required by FINRA via FCS promptly upon any material change;
  • review and verify contact information annually; and
  • comply promptly with any request for contact information.

Firms must complete an annual verification of their contact information within 17 business days after the end of each calendar year.

To ensure optimal delivery of FINRA email communications, please add our domain to your safe-sender list within your email application. View instructions on how to add our domain to your email application.

Access the FINRA Contact System (FCS)

You must be properly entitled by a FINRA member firm to access FCS.

If you have any difficulties with your FINRA login, please see your firm's Super Account Administrator (SAA) or Account Administrator (AA) for assistance. If you are the SAA or AA and are having difficulty logging in, please call the FINRA Call Center at (301) 869-6699.

Program Details

Background information about FCS and related Notices.

Instructions & Help

Step-by-step instructions on accessing and updating the information in FCS.