FINRA is committed to providing firms with prompt and accurate answers to their regulatory questions. As part of that commitment, FINRA has assigned a dedicated point of contact—a Coordinator—to each firm.
As full-time FINRA employees, Coordinators are available to address your questions on such topics as FINRA Rules and Notices, financial questions, form filings, licensing requirements and compliance resources. While Coordinators can help you navigate the regulatory landscape and answer FINRA-related questions, your Coordinator cannot provide legal advice or interpretive guidance.
Each Coordinator is dedicated to responsiveness and follow-through; so in the event that your Coordinator cannot answer a question directly, they will put you in touch with someone who can—and follow up to ensure you receive an answer.
In addition, in order to leverage your coordinator's knowledge of your firm's business, your coordinator may make in-person visits to your firm during the introductory and/or close-out meetings that take place as part of examinations.
Contact your firm's Coordinator or your local FINRA District Office for more details.