4530/Customer Complaint Quarterly Reporting Due Dates

FINRA reminds firms of their obligation to file their complaints by the required due dates. All regulatory filings/reports must be received by the scheduled due date in order to be deemed "received" by FINRA. Questions regarding the information to be filed can be directed to the appropriate District Office.      


Questions concerning system requirements, file uploads and submission problems for the Firm Gateway should be directed to (800) 321-6273.


2013 4530/Customer Complaint Due Dates

4th quarter 2013:January 15, 2014


2014 4530/Customer Complaint Due Dates

1st quarter 2014:April 15, 2014
2nd quarter 2014:July 15, 2014
3rd quarter 2014:October 15, 2014
4th quarter 2014:January 15, 2015