Regulatory Notice 11-10

FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530

Executive Summary

FINRA is issuing this Notice to remind member firms of their obligation to electronically report specified events and quarterly customer complaint information required under current NASD Rule 3070 and Incorporated NYSE Rule 351, and new FINRA Rule 4530, which is effective July 1, 2011. This Notice also provides additional guidance on automated reporting via the Rule 4530 Application for matters that become subject to reporting on or after July 1, 2011.

 

Questions regarding this Notice should be directed to Afshin Atabaki, Assistant General Counsel, Office of General Counsel, at (202) 728-8902.

 

Technical questions regarding the Rule 4530 Application, including testing, should be directed to the FINRA Help Desk, at (800) 321-6273 (if your question relates to testing, rather than an actual submission, please indicate this to the help desk representative).