Engage With FINRA
The self-regulatory organization (SRO) model enables FINRA to engage with the industry, investors, and other interested parties to quickly adapt our oversight to changing markets, as well as to develop tools and resources that enhance industry practices. This engagement results in stronger, more informed regulation to support FINRA’s mission of promoting market integrity and investor protection.
There are many different ways to provide feedback and get involved.
Reach Out to Your FINRA Contacts
As part of FINRA’s commitment to supporting compliance and answering firms’ regulatory questions promptly, every member firm has a dedicated Risk Monitoring Team which includes a Risk Monitoring Senior Director, Risk Monitoring Director and Risk Monitoring Analyst (RMA). Member firms are encouraged to reach out to their RMA as the primary point of contact. Contact information can be found in FINRA Gateway. Analysts will assist with answering member questions on topics such as FINRA Rules and Notices, financial and business conduct requirements, form filing deadlines and compliance resources. Learn more about the Risk Monitoring Program.
Submit Comments on FINRA Initiatives
FINRA draws on the expertise and knowledge of the industry and other interested parties to help FINRA implement more effective regulatory programs that promote both investor protection and vibrant capital markets. FINRA provides various methods to submit comments in response to its requests for comments via the Regulatory Notice View Regulatory Notices out for comments.
Join a FINRA Committee
As a membership organization, FINRA’s work is informed by our member firms, with 12 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. Committee feedback helps FINRA better understand and react, resulting in stronger, more informed regulation. In addition, FINRA has ad hoc committees that it engages on particular topics. The composition of the committees and their meeting frequency, which is generally two to five meetings per year, vary by committee. Learn more about committees and indicate your interest in serving on one of FINRA’s committees.
Consider Serving on FINRA’s Board of Governors
The FINRA Board of Governors, the governing body of the corporation, oversees management in the administration of FINRA’s affairs and the promotion of FINRA’s welfare, objectives and purposes. FINRA’s Board is composed of 22 industry and public members. Learn more about the current Board members, selection process and terms of service.
Participate as a Speaker at a FINRA Educational Event
Throughout the year, FINRA hosts several conferences and events that cover a variety of topics. Consider sharing your perspective, and best practices with other participants. Indicate your interest in speaking at a FINRA conference or event to share your expertise.
More Information on the Election Process
Learn how each election works or keep track of elections and appointments to FINRA's committees and boards.
Have Questions
If you have questions about how to engage with FINRA, contact Member Relations and Education.