Notices Regulatory Notice 20-17FINRA Revises Rule 4530 Problem Codes for Reporting Customer Complaints and for Filing Documents OnlineWednesday, June 10, 2020 Regulatory Notice 20-02FINRA Requests Comment on the Effectiveness and Efficiency of Its Reporting Requirements RuleThursday, January 09, 2020 Regulatory Notice 17-21FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents OnlineWednesday, May 31, 2017 Regulatory Notice 14-20FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents OnlineWednesday, May 07, 2014 Regulatory Notice 13-08FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New FormFriday, February 15, 2013 Regulatory Notice 11-32FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530Monday, July 18, 2011 Regulatory Notice 11-06SEC Approves Consolidated FINRA Rule Governing Reporting RequirementsThursday, February 03, 2011 Regulatory Notice 11-10FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530Friday, March 04, 2011 Notice to Members 03-23SEC Approves Amendment to Rule 3070 to Require Filing with NASD of Criminal and Civil Complaints and Arbitration ClaimsMonday, April 21, 2003
