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.

2016 4530/Customer Complaint Due Dates

1st quarter 2016: April 15, 2016
2nd quarter 2016: July 15, 2016
3rd quarter 2016: October 17, 2016
4th quarter 2016: January 16, 2017