FINRA Website Privacy Policy

FINRA has created this security and privacy statement in order to demonstrate and communicate its commitment to the privacy of the users of FINRA's websites and to conducting business with the highest ethical standards and appropriate internal controls. The following discloses FINRA's information gathering and dissemination policies for the FINRA website:

Collection and Dissemination of Personal Information

FINRA uses a third party web analytics service to gather site usage information for the purpose of improving user experience. As part of this web analytics activity, FINRA places cookies on users' computers. Additionally, for specific sites or applications, FINRA may use web analytics to confirm compliance with the terms of use of those sites or applications. FINRA and its vendors may also place cookies on users' computers to enable certain site features such as the Market Data Watchlist, Fund Analyzer Favorites and BrokerCheck searches. Users who opt out of cookies by changing the setting of their browsers will not be able to take advantage of these and other site features.

FINRA's websites may receive and maintain information such as user name, email address, telephone number and other personal information only when such information is personally submitted by users through an optional request form such as the request for more information form or the FINRA survey form. These forms and the information provided within the forms allow users to make specific inquiries or requests of FINRA or provide FINRA with feedback on its websites or services. Information gathered via this site is not shared with third parties unless the involved individual requests such sharing or unless disclosure is required by law. FINRA does not sell personal information to third parties for commercial purposes.

FINRA reserves the right to disclose user information in special circumstances, where FINRA believes that the disclosure of such information is necessary to identify or contact someone who may be interfering with or violating FINRA's rights or property or other users or to protect or enforce FINRA's rights or obligations. FINRA may also disclose user information when such disclosure is required by law or regulation.

Third Party Links

FINRA websites may contain links to other sites, some of which are not owned by FINRA. FINRA is not responsible for the security or privacy practices of non-FINRA sites, the products or services offered by such sites, or the content appearing at such sites. Likewise, FINRA does not endorse any of the products or services marketed at non-FINRA sites.

FINRA prohibits the framing of any materials available through the FINRA websites and unauthorized hypertext links to FINRA's websites. FINRA reserves the right to disconnect or otherwise disable any unauthorized frames or hypertext links.

Regulatory Policy

Certain FINRA websites, such as Web CRD/IARD E-Pay, require an authorized user (FINRA Members or FINRA Member Firms) to input personal information in order to fulfill a regulatory requirement. FINRA shall use such information consistent with its regulatory mission and its role as a member association. Such personal information may be made public or shared with third parties, consistent with FINRA's role as a self-regulatory organization.

Information Security

FINRA websites are protected with a variety of security measures such as change control procedures, passwords, and physical access controls. FINRA also employs a variety of other mechanisms to protect a user's data from being lost, misused, or altered inappropriately. These controls include data confidentiality policies and regular database backups. Although FINRA takes these measures to safeguard against unauthorized use of a user's data, FINRA cannot control Internet transmissions and cannot provide assurances that personal information transmitted to FINRA will never be compromised.

Policy Changes

FINRA reserves the right to modify or update this Privacy Policy or other terms and conditions of use of the FINRA websites at any time by updating the relevant link. Any modifications or updates shall be effective upon posting to the FINRA website(s).

Contact Information

FINRA
Attn: Privacy Policy - OGC
1735 K Street
Washington, D.C. 20006

This Privacy Policy was last updated in June 2012.