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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 2022: April 18, 2022
2nd quarter 2022: July 15, 2022
3rd quarter 2022: October 17, 2022
4th quarter 2022: January 17, 2023