FINRA Contact System (FCS)

Overview

FCS facilitates member firm reporting of key contacts to FINRA, which is a requirement of FINRA rules and by-laws. Designated firm contacts are used to facilitate member voting in FINRA elections, compliance with various rules and by-laws, and to improve FINRA's communication with our member firms.
 
NASD Rule 1160 became effective December 31, 2007 and requires firms to:

 

• update all contact information required by FINRA via FCS promptly upon any material change;
• review and verify contact information annually; and
• comply promptly with any request for contact information.

 

Firms must complete an annual verification of their contact information within 17 business days after the end of each calendar year.

 

Access the FINRA Contact System (FCS)

You must be a properly entitled staff member of a FINRA member firm to access FCS:

 

• directly at https://regfiling.finra.org/contacts/ncs_contacts.aspx
• via the Firm Gateway at www.finra.org/firmgateway

 

All FINRA member firm Account Administrators and other properly entitled individuals may update member firm contact information via this online form.

 

If you have any difficulties with your FINRA login, please see your firm's Account Administrator for assistance. If you are the Account Administrator and are having difficulty logging in, please call the FINRA Call Center at (301) 869-6699 for assistance.

 

Program Details

Background information about FCS and related Notices.

 

Instructions & Help

Step-by-step instructions on accessing and updating the information and access to frequently asked questions.