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FINRA Contact System Due Date

January 26, 2017

Annual Verification Due

As a reminder, Rule 4517 requires firms to complete an annual verification of their FCS contact information within the first 17 business days of each calendar year. Please login to FCS and perform your annual review. This year’s deadline is Thursday, January 26, 2017.

If you have questions on how to complete your FINRA annual FCS verification, please review the FCS guides or call the FINRA Gateway Call Center at (301) 869-6699.

New Role Added to FCS

On February 1, 2016 the Chief Information Security Officer (CISO) role was added to FCS. The new optional role is located in the Other Roles section, directly below the Chief Technology Officer.

The CISO role is defined as:

“Person at your firm responsible for establishing and maintaining the enterprise vision, strategy and program to ensure information assets and technologies are adequately protected, or person closest to that role.”


January 26, 2017
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