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FINRA Rule 4530/Customer Complaint Filing Due Dates (Q4 2021)

January 15

In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day of the month following the calendar quarter in which customer complaints are received by the member. For the purposes of this paragraph, “customer” includes any person other than a broker or dealer with whom the member has engaged. or has sought to engage, in securities activities, and “complaint” includes any written grievance by a customer involving the member or person associated with a member.


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