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Firms must submit quarterly statistical and summary data for written customer complaints under FINRA Rule 4530(d).

 

Syndicate Legal Advisory Services provides nationwide legal document preparation services for broker-dealer firms required to prepare quarterly statistical and summary information regarding written customer complaints under FINRA Rule 4530(d). We prepare the statistical complaint report and related supporting materials based on the complaint details, product and problem codes, and specific instructions you provide. 

 

Documents Commonly Prepared

We prepare a full range of documents associated with the Rule 4530 statistical complaint report, including but not limited to:

  • Statistical Complaint Report Entries: Completion of the quarterly statistical and summary information for written customer complaints, including contact information, product codes, problem codes, complaint dates, allegation activity periods, branch and related representative information, customer details, disputed amounts, and security symbols, based on the data you supply.
  • Supporting Summaries: Formatting of summary information or schedules of complaints for the reporting quarter from the details you provide.
  • Amendments: Amendments to previously filed statistical complaint reports, prepared from the revised data and details you supply.
  • Related Supporting Materials: Organization of exhibits or attachments incorporating client-supplied complaint descriptions or other materials referenced in the filing.

 

Documents are prepared for use in connection with electronic filings through the FINRA Gateway (subject to the information you provide). The statistical and summary information regarding written customer complaints under Rule 4530(d) is due by the 15th calendar day of the month following the end of each calendar quarter (or the next business day if the 15th falls on a weekend or holiday); clients remain fully responsible for accurate classification of complaints, selection of product and problem codes, electronic filing via FINRA Gateway, meeting all deadlines, and compliance with all FINRA Rule 4530 requirements (including any related individual event reporting under Rule 4530(a) or (b)).

BD - STATISTICAL COMPLAINT REPORT (Rule 4530)

$125.00Price
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DISCLAIMER: The information on this site is for informational purposes only and should not be taken as legal or financial advice. Requesting additional information or submitting information through this site or any contact form does not mean an attorney-client, or any other professional services provider-client relationship has been formed. Syndicate Legal Advisory Services is a legal advisory firm. As a legal advisory firm, Syndicate Legal Services provides guidance, analysis, compliance support, and strategic counsel on legal matters, but does not litigate, appear in court, or formally represent clients in legal proceedings.

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