Checklist

Key Criteria for a FINRA Rule 4530 Customer Complaint Tracking Solution

Compliance with the FINRA Rule 4530 requirements for reporting on customer complaints presents an array of challenges. This checklist details the requirements needed for an effective FINRA 4530 solution to avoid FINRA penalties and maintain business integrity to protect investors.

Select the right solution to help you:

Streamline intake, triage, and accurate tracking of customer complaints per FINRA requirements
Expedite required reporting on customer complaints and submission to FINRA
Create efficiencies for investigations and corrective actions related to customer complaints

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