Rule 4530 Events
FINRA Rule 4530(a) requires firms to promptly report specified events to FINRA no later than 30 calendar days after the firm knows or should have known of their existence. FINRA Rule 4530(b) requires a firm to report to FINRA within 30 calendar days after the firm has concluded, or reasonably should have concluded, on its own that the firm or an associated person of the firm has violated any securities, insurance, commodities, financial or investment-related laws, rules, regulations or standards of conduct of any domestic or foreign regulatory body or self-regulatory organization.
Filing Events Online
Firms must submit the specified events 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
- Disclosure Number
- Allegation Activity Period
- Discovery Date
- "Related To" box must be checked
- Branch ID
- Details of Disclosure Event (Disclosure Event Codes)
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 Events
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.