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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.

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Broker-dealer reporting requirements under Rule 4530

Posted by RJ and Makay on Aug 12, 2011

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FINRA Rule 4530 became effective on July 1, 2011. The rule requires broker-dealer member firms to electronically report to FINRA specified events and customer complaint information. The scope of the rule led to a number of questions that FINRA has attempted to address in Notice to Members 11-32. Under Rule 4530, broker dealers will soon be required to: