Rule 4530 Events

Background

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.


Filing Events Online

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 Name5. Discovery Date
2. Contact Phone Number6. "Related To" box must be checked.
3. Disclosure Number7. Branch ID
4. Allegation Activity Period8. 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.

 

File Batch Upload Method for Events

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 Disclosure Events required for specified events.

 

Using Form U4 to Report Certain Events

FINRA Rule 4530(e) provides an exception for specified events reported as part of the Form U4. For details about using this new function see Regulatory Notice 13-08 and CRD Frequently Asked Questions