FINRA Contact System (FCS) - Program Details

Background

Through the FINRA Contact System (FCS), FINRA maintains contact information records of all Executive Representatives, Chief Compliance Officers and other individuals required under FINRA rules and By-Laws. FINRA uses this information for regulatory communications, compliance purposes and ballots for Board and other elections.

Firms are required to update their information via the FCS within 30 days following any changes and to review required contact information annually, pursuant to FINRA Rule 4517. The FCS is password-protected and firms are only able to access their own contact information.

Related Notices

  • SR-FINRA-2015-004 Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook
  • FINRA Regulatory Notice 07-42, published September 2007:
    SEC Approves NASD Rule 1160 Regarding Firm Contact Information (replacing the Quarterly Review with an Annual Review); Effective Date: December 31, 2007
  • NASD Notice to Members 04-32, published April 2004:
    SEC Approves Amendments to Require Quarterly Review and Update of Executive Representative Contact Information; Effective Date: May 14, 2004
  • NASD Notice to Members 04-22, published March 2004:
    SEC Approves Amendments to Rule 1120 (Continuing Education Requirements) Regarding Regulatory Element Contact Person
     

FINRA Weekly Update

The FINRA Weekly Update summarizes regulatory notifications and information and provides other updates, including news releases, announcements and educational programs. Each firm must maintain an email address on behalf of its Executive Representative so that he or she is able to receive the Weekly Update and other regulatory notifications.

If others would also like to receive the Weekly Update, complete and submit the email subscription form.

Special Notes

Firms that do not wish to acquire email capability solely for the purpose of receiving the FINRA Weekly Update and other FINRA email notices have the option of designating an email address in care of a vendor that would be responsible for forwarding any FINRA communication delivered electronically. Regardless, every firm must designate and maintain an email address for the purposes outlined above and will be responsible for compliance with any and all matters where notification is made via electronic means.

Historical Information

October 2, 2018
New Roles Added to FCS

In accordance with Regulatory Notice 17-30, three roles, Principal Financial Officer, Principal Operations Officer and Principal Operations Officer – Alternate, were added to the Business Practice Roles section in FCS.

For more information, please email us or contact the FINRA Support Center at (301) 869-6699.

December 18, 2017
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 email us or contact the FINRA Support Center at (301) 869-6699.

January 10, 2017

In connection to the new web-based short interest reporting system, two roles, Short Interest – Primary and Short Interest – Alternate, were added to the System Roles section in FCS. For additional information please see Regulatory Notice 16-32.

February 1, 2016

The Chief Information Security Officer (CISO) role was added to FCS. The optional role is located in the Other Roles section, directly below the Chief Technology Officer.

Related Notices

  • FINRA Regulatory Notice 16-32, published August 2016:
    FINRA Announces New Web-based System for the Collection of Short Interest Positions Reporting
  • NASD Notice to Members 04-37, published May 2004:
    SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information; Effective Dates:
    • Rule 3510: Clearing Firms: August 11, 2004
    • Introducing Firms: September 10, 2004
    • Rule 3520: All Firms: June 14, 2004
  • NASD Notice to Members 02-78, published November 2002:
    NASD Adopts Amendments to Rule 3011 to Require Members to Provide to NASD Contact Information for an Anti-Money Laundering Compliance Person(s)
  • NASD Notice to Members 99-36, published May 1999:
    Members Reminded To Report Executive Representative And Address Changes
  • Special NASD Notice to Members 98-108, published December 1998:
    NASD Extends Deadline For Updating Firm Contact Information Via The NASD Regulation Web Site To February 1, 1999
  • NASD Notice to Members 98-77, published September 1998:
    Executive Representatives Must Maintain Internet Electronic Mail Account By January 1, 1999; Complimentary Hard Copy Distribution Of Key Publications To End January 1, 1999