Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

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