Government Shutdown Information

Government Shutdown Information

As a self-regulatory organization, FINRA is fully operational during the government shutdown.

During the government shutdown, FINRA continues to perform its essential role of protecting investors and ensuring the integrity of the securities markets. Learn more about these important functions below.

Why is FINRA open during the federal government shutdown?

FINRA is a self-regulatory organization (SRO), not a part of the federal government. SROs are funded by their regulated members, and do not rely on taxpayer dollars. 

I have an open FINRA arbitration matter. Will the government shutdown delay the process?

No. The dispute resolution process continues as normal.

I filed a regulatory tip with FINRA. Will the government shutdown delay the process?

FINRA continues to receive and follow up on regulatory tips as normal. It should be noted that if a tip involves firms or individuals outside of FINRA’s membership, and FINRA refers that tip to a federal agency, the tip would be subject to that agency’s handling of matters during the shutdown. 

What function or services does FINRA provide during the shutdown?

FINRA is fully operational and continues to perform a broad range of vital functions, including but not limited to:

Is there any aspect of FINRA that is affected by the shutdown?

All FINRA rule proposals are subject to review and approval by the Securities and Exchange Commission (SEC), and the timing the rulemaking process could potentially be impacted by the shutdown.