How to Join the Industry, Take an Exam, or Contact FINRA

FINRA.org is the entry point for three different audiences: firms and individuals who want to join the securities industry or take a qualification exam, anyone with a question or concern about a broker or firm, and investors looking for background information. The homepage surfaces each path directly — "Join the Industry or Take an Exam," "Register," and "Have Questions or Concerns? Contact Us" — alongside search tools for disciplinary actions, cases, and broker/firm research. Use the path that matches your situation; the sections below explain what each one leads to and how to verify you've landed in the right place.

If You Want to Join the Industry or Take an Exam

FINRA presents industry entry and exam registration as a single starting point on its homepage. From there, the site routes you toward registration and exam options rather than requiring you to know the internal structure first.

Before you start, confirm two things:

• Which role you're registering for. Registration covers both firms joining as FINRA members and individuals who need to qualify, for example by passing an exam. The homepage treats these as related but distinct actions, so identify your category before clicking through.
• Whether your firm or sponsor is already involved. Many individual registrations are tied to a member firm; if you're joining through an employer, ask them which registration path applies before you create anything on your own.

The expected result of this path is a registration or exam booking, not immediate membership. Treat the homepage link as the doorway and the subsequent pages as the actual requirements — FINRA does not publish eligibility, fees, or scheduling details on the homepage itself, so read the linked pages rather than assuming terms.

If You Have a Question or Concern

The "Have Questions or Concerns? Contact Us" link is the general contact channel. It sits alongside three lookup tools that often answer the question before you need to contact anyone:

A practical sequence: if your concern is about a specific broker or firm, start with BrokerCheck and the case search tools, because a documented record may resolve the question. If your issue isn't about a specific firm, or the record doesn't address it, use the Contact Us channel. The homepage does not state response times or which team handles which concern, so don't plan around an assumed turnaround.

If You're a Member Firm Wanting to Engage

FINRA describes member engagement as "a two-way street." Its Unscripted podcast episode on the topic features two regional committee members discussing how FINRA listens to industry feedback and acts on it, and points firms toward resources for participating in shaping regulation and building relationships with FINRA.

If you're at a member firm and want your feedback heard, the realistic route is through the member engagement and regional committee structures described in that content rather than a generic contact form. Listen to or read the episode summary first — it explains how participation works — then follow the linked resources. This is a slower channel than a support request, so use it for policy and regulatory feedback, not time-sensitive operational problems.

If You're an Investor Looking for Information

The homepage carries investor-focused material in several places:

• BrokerCheck for researching a broker or firm before doing business.
• Featured reports — the 2026 Industry Snapshot, which shares data on FINRA-registered firms and individuals to increase public understanding, and the 2026 Annual Regulatory Oversight Report, aimed at member firms with findings from FINRA's regulatory operations.
• The Crypto Hub, which coordinates FINRA's regulatory work on member firms' crypto asset activities.
• The Insider Trading Detection Program, which produces intelligence for U.S. law enforcement and regulators — over 450 referrals in 2023 alone, which FINRA says routinely lead to criminal and civil action.
• Instagram (@FINRAOfficial) for everyday-investor content.

For a background check on a specific broker, BrokerCheck is the direct tool. For understanding how the market is regulated, the Industry Snapshot is the most accessible starting document; the Oversight Report is written for firms, not consumers.

A Quick Way to Choose

• Joining or qualifying: start at "Join the Industry or Take an Exam," then confirm your category and any firm sponsorship before registering.
• A problem with a broker or firm: search BrokerCheck and cases first, then use Contact Us if the record doesn't answer your question.
• Member firm feedback: go through member engagement and regional committees, not the general contact channel.
• General research: BrokerCheck for people and firms, Industry Snapshot for the big picture.

One caution across all paths: the homepage is a directory, not a rulebook. Eligibility, fees, and procedures live on the linked pages, and FINRA's own materials distinguish between what's written for firms and what's written for investors — check which audience a document targets before relying on it.