NYSE Regulation welcomes information from investors and others who believe that a member firm or individual broker may have violated securities rules and regulations. Inquiries can also be sent through this system.
Since June 2010, FINRA regulates trading by NYSE and NYSE MKT member organizations and NYSE Arca permit holders on behalf of NYSE Regulation. FINRA is also responsible for regulation of securities firms and their representatives that do business with the public. If you have a trading or sales practice-related complaint, it will be forwarded to FINRA. Other types of complaints will also be forwarded to the appropriate regulator. Complaints about our various listing programs and general questions can be submitted below.