Rule 4530 Events
FINRA Rule 4530(a) requires firms to promptly report specified events to FINRA no later than 30 calendar days after the firm knows or should have known of their existence. FINRA Rule 4530(b) requires a firm to report to FINRA within 30 calendar days after the firm has concluded, or reasonably should have concluded, on its own that the firm or an associated person of the firm has violated any securities, insurance, commodities, financial or investment-related laws, rules, regulations or standards of conduct of any domestic or foreign regulatory body or self-regulatory organization.
Firms must submit the specified events electronically via the Regulatory Filings Application on the FINRA Firm Gateway, which can be accessed directly through https://RegFiling.FINRA.org. Firms can edit, amend, delete drafts and submit filings through the application.
The following are minimum required fields.
|Minimum Fields for Disclosure|
|1. Contact Name||5. Discovery Date|
|2. Contact Phone Number||6. "Related To" box must be checked.|
|3. Disclosure Number||7. Branch ID|
|4. Allegation Activity Period||8. Details of Disclosure Event|
Any technical questions, concerns or entitlement issues about form filing applications can be directed to the FINRA Help Desk at (800) 321-6273.
Submit large volume of filings directly to a secure server and to automate and streamline the submisson process. See the Regulation Filing Applications FTP Submission Fact Sheet for instructions on submitting filings via FTP. In order to import a filing containing one or more complaints, the file must adhere to FINRA's XML Disclosures Format (view a sample file (PDF 210 KB). See the valid list of Rule 4530 Products and Problem Codes required for specified events.