FINRA Rule 4530 Reporting Requirements
FINRA Rule 4530 (Reporting Requirements) requires FINRA member firms to report to FINRA specified events, such as findings by a regulatory body and quarterly statistical and summary information regarding written customer complaints. FINRA Rule 4530 also requires firms to file copies of specified criminal actions, civil complaints and arbitration claims. Every member must report certain events outlined in the rule within 30-days. All other written customer complaints and/or grievances must be filed by the 15th calendar day following the end of each quarter. FINRA Rule 4530(a) contains a listing of the events that require each member to promptly report to Read more about FINRA Rule 4530 Reporting Requirements[…]