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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

4th quarter 2018: January 15, 2019
1st quarter 2019: April 15, 2019
2nd quarter 2019: July 15, 2019
3rd quarter 2019: October 15, 2019
4th quarter 2019: January 15, 2020