Rule 4530 Complaints 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.

2018 4530/Customer Complaint Due Dates

1st quarter 2018: April 16, 2018
2nd quarter 2018: July 16, 2018
3rd quarter 2018: October 15, 2018
4th quarter 2018: January 15, 2019