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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.

4530/Customer Complaint Due Dates

1st quarter 2023: April 17, 2023
2nd quarter 2023: July 17, 2023
3rd quarter 2023: October 16, 2023
4th quarter 2023: January 16, 2024