FINRA Reminds Firms of Obligations Under FINRA Rule 4530

FINRA RN 11-10

March 4, 2011

FINRA issued a regulatory notice to remind firms of their obligation to electronically report specified events and quarterly customer complaint information required under NASD Rule 3070 and NYSE Rule 351, as well as under FINRA Rule 4530 (which becomes effective on July 1, 2011). In addition, the notice provides new guidance on reporting under 4530 for matters that become subject to reporting after July 1, 2011.

Cross References

FINRA Rule 4530

NASD Rule 3070

NYSE Rule 351