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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 2024:April 15, 2024
2nd quarter 2024:July 15, 2024
3rd quarter 2024:October 15, 2024
4th quarter 2024:January 15, 2025