This helpline is administered by a third party, EthicsPoint, Inc., for FINRA. You may log on using the link provided on FINRA’s intranet, or go to the webpage provided for FINRA employees, finra.ethicspoint.com to:
- Ask a Question;
- Make A Report; or
- Follow-up on a prior report.
When you log on, a series of prompts will instruct you how to accomplish your task. When making a report, you will be asked to provide the most detailed information possible about the behavior or incident. You may choose to remain anonymous when submitting your question or report; however, doing so may limit a full investigation of the matter. Therefore, you are encouraged to identify yourself.
Reports are entered directly on the EthicsPoint secure server to prevent any possible breach in security. EthicsPoint will make your report available only to designated individuals within FINRA who are charged with evaluating the report, based on the type of violation and location of the incident. Each of these report recipients has had training in keeping these reports in the utmost confidence. EthicsPoint and this helpline cannot provide you advice or resolve your issue directly.
When submitting your question or report, you will be given a report key and asked to create a personal password. You will need this information to access the "Follow up on Report" section on the Web site to check the status or resolution of the matter you reported. We ask you to follow-up on your inquiry or report within three business days. Please check back to:
- Check the accuracy of your report or supply additional information concerning the behavior or incident;
- View acknowledgement of your report;
- Find out if additional information is needed to process your question/concern;
- View status or updates to your report or the response to your question; or
- Find out the resolution of your matter.
Continued follow-up on a matter is particularly important for anonymous reports, where FINRA has no other means to communicate with you, the reporter. If you have identified yourself by name, the appropriate FINRA department will contact you directly to discuss your concern and ask any additional questions they may have.
To ensure that security and confidentiality is maintained, if you lose your report key or password, you will be required to make a new report. You can mention in the new report that this matter relates to a report or question you previously submitted.
To ensure full evaluation of an anonymous complaint, it is critical for the complainant to follow up in 3-5 days and at least weekly thereafter to respond to questions or provide additional information. Here's how to follow up: when you raise a concern at the EthicsPoint Web site or through the EthicsPoint Call Center, you receive a unique, randomized number called a “Report Key” username and are asked to choose a password. You can return to the EthicsPoint system again either by Internet or telephone to access your original report. You may then add additional detail or answer follow-up questions posted for you. If you remain anonymous, it is extremely important to follow-up as additional information may be necessary to effectively address your concern.