FINRA Small Firm Helpline
A resource where small broker-dealer firms can get help navigating FINRA’s systems and resources.
Monday – Friday
9 a.m. – 6 p.m. Eastern Time
As part of our ongoing efforts to provide support for small firms, and in response to the FINRA Special Notice on Engagement and FINRA360, FINRA developed the Small Firm Helpline to assist broker-dealers that need general help navigating FINRA’s systems and resources.
When you call, a representative will either answer your question or connect you to the appropriate person or FINRA department.
The Small Firm Helpline is not a substitute for your Risk Monitoring Analyst; your Risk Monitoring Analyst remains your primary FINRA contact for regulatory questions, as well as questions specific to your firm. The Helpline is designed to serve as a complement to your Risk Monitoring Analyst by offering another place for you to get assistance navigating FINRA’s systems and resources and for answers to your general questions—providing you with additional support for your firm’s compliance efforts.
|Why Should You Call?||What Can You Expect?|