Rule 4530 Criminal Actions, Civil Litigations and Non-FINRA Arbitrations

Background

Rule 4530(f) requires firms to promptly file with FINRA copies of specified criminal actions, Civil complaints and arbitration claims. Firms may file the required documents either electronically (as a scanned email attachment or scanned and saved on a disk) or in paper form.

FINRA Rule 4530(g) gives firms the option of filing the documents required under Rule 4530(f) online via FINRA Gateway. To facilitate online filings, FINRA has created a new form, which is available through https://RegFiling.FINRA.org. Member firms that choose to file their documents online will be required to complete the mandatory fields on the new online form, such as the name and telephone number of the contact person and the name of the complainant or plaintiff, and attach to the form a scanned copy of the documents required under Rule 4530(f), in a format such as portable document format (PDF).

Any technical questions, concerns, or entitlement issues about form filing applications can be directed to the FINRA Support Center at (800) 321-6273

Firms will continue to have the option of filing the documents required under Rule 4530(f) via mail or email. In addition, the requirement to provide limited summary information regarding the documents applies only to firms that choose to file the documents with FINRA online using the new form; the requirement does not apply to firms that use other permissible electronic means (e.g., email) to file the documents with FINRA.

Filing Documents by Email

Firms filing the required documents electronically as a scanned email attachment may send them to [email protected]

Filing Documents by Mail or Courier

Members should send hard copies, or electronic copies by first class mail or courier to the following address:

FINRA
ATTN: Rule 4530(f)
9509 Key West Avenue
Rockville, MD 20850-3329