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 Frequently Asked Questions |
| To whom do I complain about a broker and/or brokerage firm, if the firm is not a member of the New York Stock Exchange? |
| The Financial Industry Regulatory Authority (FINRA) is responsible for all member regulation of securities firms and their registered representatives doing business with the public. You may file an investor complaint that concerns a registered representative doing business with the public or his or her firm with FINRA's Investor Complaint Center.
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