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 2020:||May 31, 2020|
|2nd quarter 2020:||July 15, 2020|
|3rd quarter 2020:||October 15, 2020|
|4th quarter 2020:||January 15, 2021|