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NYSE Euronext 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.
In the United States, NYSE Regulation oversees trading by NYSE and NYSE Amex member organizations, NYSE Arca permit holders, as well as assures the regulatory integrity of our various listing programs. The Financial Industry Regulatory Authority (FINRA) is responsible for regulation of securities firms and their representatives that do business with the public. So, if you have a sales practice-related complaint, it will be forwarded to FINRA. Other types of complaints will also be forwarded to the appropriate regulator.
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