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.

2015 4530/Customer Complaint Due Dates

1st quarter 2015: April 15, 2015
2nd quarter 2015: July 15, 2015
3rd quarter 2015: October 15, 2015
4th quarter 2015: January 15, 2016