Regulatory Reporting Requirements

What this video covers

• The 30-calendar-day deadline for FINRA specified events, including civil litigation, sales practice violations, written complaints alleging theft or forgery, and written notice of criminal or regulatory investigation
• The quarterly statistical reporting due date: the 15th day of the month following each calendar quarter
• Why the $5,000 claimed-damages threshold for Form U4 customer complaints works like a smoke detector, triggering reporting regardless of merit or withdrawal
• The standard 30-day filing deadline for most Form U4 amendments, including customer complaints over $5,000, arbitration awards, civil judgments, criminal charges, and other disclosable events
• The compressed 10-day deadline for statutory disqualification events, and why exam writers bait you with the 30-day default
• The written arbitration disclosure firms must provide when an associated person signs or acknowledges Form U4
• The two mandatory-arbitration exceptions: employment discrimination claims under a statute and whistleblower statute disputes