FOIA Advisor

Q&A: The Financial Industry Regulatory Authority

Q&A (2015-16)Allan BlutsteinComment

Q.  Can a person registered with FINRA (i.e., a registered representative) successfully submit a FOIA request to FINRA to get his former employer's correspondence with FINRA concerning his alleged wrongdoing committed while he was an employer of such employer?

A.  FINRA is a non-profit organization, not a government agency, and therefore it is not subject to FOIA.  FINRA might have its own disclosure policies/procedures, but I am not aware of them.