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.

2017 4530/Customer Complaint Due Dates

1st quarter 2017: April 17, 2017
2nd quarter 2017: July 17, 2017
3rd quarter 2017: October 16, 2017
4th quarter 2017: January 16, 2018