Rule 4530 Customer Complaints

Background

FINRA Rule 4530(d) requires firms to report quarterly statistical and summary information regarding written customer complaints. FINRA uses the information to identify and initiate investigations of firms, offices and associated persons that may pose a risk, and for the timely identification of other regulatory matters in line with our goal of enhancing risk-based approaches to regulation, investor protection and market integrity.

The statistical and summary information regarding customer complaints required pursuant to FINRA Rule 4530(d) is due quarterly by the 15th calendar day from the end of the quarter. If the 15th falls on a weekend or holiday, the report is due the next business day following the 15th. For a current list of filing due dates, see Member Firm Filing Due Dates.

Filing Complaints Online

Firms must submit customer complaints electronically via the Regulatory Filings Application on the FINRA Firm Gateway, which can be accessed directly through https://RegFiling.FINRA.org. Firms can edit, amend, delete drafts and submit filings through the application.

The following are minimum required fields.

  • Contact Name
  • Contact Phone Number
  • Complaint Number
  • Product Code (Product and Problem Codes)
  • Problem Code
  • Complaint Date
  • Allegation Activity Period
  • Branch ID
  • Customer Account Number
  • Customer Last Name
  • Disputed Amount / Disputed Amount Indicator
  • Security Symbol

Any technical questions, concerns, or entitlement issues about form filing applications can be directed to the FINRA Help Desk at (800) 321-6273.

File Batch Upload Method for Quarterly Statistical Complaints

Submit large volume of filings directly to a secure server and to automate and streamline the submission process. View our 4530 Documentation page for more instructions on formatting the XML and submitting filings via FTP.