What is the 30 day rule for 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.

What are FINRA reportable events?

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.

What will disqualify you from FINRA?

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.

What does FINRA consider a complaint?

(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 ...

What needs to be disclosed to FINRA?

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.

What do I need to report to FINRA?

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 ...

Do I have to report misdemeanor to FINRA?

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.

What is a regulatory notice?

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.

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Regulatory Notice 11-10 - Finra

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S Additional Guidance on Automated Reporting Under FINRA Rule 4530 Notice Type 00 Guidance Suggested Routing Compliance Legal 00 Operations 00 Senior Management 00 00 Executive Summary FINRA is issuing this Notice to remind member firms of their obligation to electronically report specified events and quarterly customer complaint information required under current NASD Rule 3070 and Incorporated NYSE Rule 351, and new FINRA Rule 4530, which is effective July 1, 2011.1 This Notice also provid.

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