Regulatory Filing & Reporting

Rule 4530 Reporting Requirements

FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions.

FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351]. Any matter that becomes subject to reporting or filing on or after July 1, 2011, must be reported or filed in accordance with the requirements of FINRA Rule 4530.

How to Report Disclosure Events - Rule 4530 (a, b)

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. Filings received more than 30 calendar days will appear as late on the firm’s 4530 Disclosure Timeliness Report Card.

Firms must submit the specified events electronically via the FINRA Firm Gateway. Firms can use to online filing application to create and delete drafts, submit filings, and edit or amend filings for 30 days after submission.

 Filers must provide the following information to submit a disclosure event report:

  • Contact Name 
  • Contact Phone Number
  • Event (Rule 4530 Disclosure Event Codes)
  • Allegation Activity Period
  • Discovery Date
  • "Related To" box must be checked
  • Details of Disclosure Event

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

Other Filing Methods 

Using Form U4 to Report Certain Events

FINRA Rule 4530(e) provides an exception for specified events reported as part of the Form U4. For details about using this new function see Regulatory Notice 13-08 and CRD Frequently Asked Questions.

File Batch Upload Method for Disclosure Events

Transmitting files via file transfer protocol (FTP) Batch Submission enables FINRA member firms to submit a large volume of filings directly to a secure server and to automate and streamline the submission process. Firms with a high volume of filings may find that batch submission is more efficient than manually submitting individual pieces to FINRA using the online filing application. 

See the  for instructions on submitting filings via SFTP. In order to import a filing containing one or more complaints, the file must adhere to FINRA's XML Format for 4530 Disclosures. See the valid list of Rule 4530 Disclosure Event Codes required for specified events.

How to Report Complaints - Rule 4530 (d)

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 complaints are part of the firm’s Risk Monitoring Report Cards.

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 4530 Complaints Filing Due Dates

Firms can submit customer complaints electronically via the FINRA Firm Gateway where they can draft, delete drafts, submit filings, and amend fillings for 30 days after submission.

Filers must provide the following information to submit a complaint report:

  • Contact Name
  • Contact Phone Number
  • Product Code (4530 Product and Problem Codes)
  • Problem Code (4530 Product and Problem Codes)
  • Complaint Date
  • Allegation Activity Period
  • Branch ID
  • Related Rep ID, Affiliate Name or Subject Name as relevant
  • 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.

Other Filing Methods

File Batch Upload Method for Complaints

Transmitting files via file transfer protocol (FTP) Batch Submission enables FINRA member firms to submit a large volume of filings directly to a secure server and to automate and streamline the submission process. Firms with a high volume of filings may find that batch submission is more efficient than manually submitting individual pieces to FINRA using the online filing application. 

See the 

for instructions on submitting filings via SFTP. In order to import a filing containing one or more complaints, the file must adhere to FINRA's XML Format for 4530 Complaints. See the valid list of 4530 Product and Problem Codes required for complaints.

 

How to Report Rule 4530 Criminal Actions, Civil Litigations and Non-FINRA Arbitrations

Rule 4530(f) requires firms to promptly file with FINRA copies of specified criminal actions, civil complaints and arbitration claims. Firms may file the required documents either electronically (as a scanned email attachment or scanned and saved on a disk) or in paper form.

FINRA Rule 4530(g) gives firms the option of filing the documents required under Rule 4530(f) online via FINRA Firm Gateway.
 
Firms must provide the following information at a minimum to submit a litigation report:

  • Contact Name
  • Contact Phone Number
  • Complainant/Plaintiff Information
  • Respondent/Defendant Information
  • Matter Information
  • Litigation Filing Date
  • Alleged Compensatory Damages
  • Litigation Documents in one of the following file formats: pdf, .doc (Word 2003), .docx (Word 2007), .xps (document print format), .gif, .jpg, and .jpeg

Other Filing Methods

File by Mail

Firms filing the required documents electronically as a scanned email attachment may send them to 4530filing@finra.org. Members can send hard copies, or electronic copies by first class mail or courier to the following address:

FINRA
ATTN: Rule 4530(f)
9509 Key West Avenue
Rockville, MD 20850-3329

 

  • 17-21 FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
  • 14-20 FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
  • 13-08 FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form
  • 11-32 FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
  • 11-10 FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
  • 11-06 SEC Approves Consolidated FINRA Rule Governing Reporting Requirements
  • 03-23 SEC Approves Amendment to NASD Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration Claims

4530 Reporting Requirements

4530 Disclosure Events Reporting

4530 Customer Complaints Reporting

4530 Batch Filing Information