Get Regulatory Notice 11-10 - Finra

FINRA Rule 4530(a) requires firms to promptly report specified events to FINRA no later than 30 calendar days after the firm knows or should have known of their existence.

FINRA Rule 4530 (Reporting Requirements) requires firms to promptly report to FINRA, and associated persons to promptly report to firms, specified events, including, for example, violations of securities laws and FINRA rules, certain written customer complaints and certain disciplinary actions taken by the firm.

FINRA Disqualification Criteria Felony convictions for 10 years following the conviction date. Certain misdemeanor convictions for 10 years from the conviction date. Temporary or permanent injunctions for unlawful securities or investment banking activities.

(b) For purposes of this Rule, "customer complaint" means any grievance by a customer or any person authorized to act on behalf of the customer involving the activities of the member or a person associated with the member in connection with the solicitation or execution of any transaction or the disposition of ...

FINRA Rule 4530 (Reporting Requirements) requires firms to report to FINRA specified events, such as a settlement against a firm in excess of $25,000, and quarterly statistical and summary information regarding written customer complaints.

FINRA Rule 4530(b) requires a firm to report to FINRA within 30 calendar days after the firm has concluded, or reasonably should have concluded, on its own that the firm or an associated person of the firm has violated any securities, insurance, commodities, financial or investment-related laws, rules, regulations or ...

What do you have to disclose to FINRA? FINRA requires reporting violations of any securities, insurance, commodities, or financial-related laws or regulations. Individuals must report any complaint alleging theft or misappropriation, any felony charge or conviction, and certain fraudulent-natured misdemeanors.

Regulatory notices (consumer standards) are published to set out our findings when any registered provider has breached a consumer standard and as a result we judge that there is actual or potential serious harm to tenants.