ARTICLE
13 January 2020

FINRA Commences Retrospective Review Of Reporting Requirement Rule

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
FINRA commenced a retrospective review of the effectiveness and efficiency of requirements under FINRA Rule 4530 ("Reporting Requirements").
United States Finance and Banking

FINRA commenced a retrospective review of the effectiveness and efficiency of requirements under FINRA Rule 4530 ("Reporting Requirements"). The rule requires firms to report when they know or should have known of the existence of "specified events, internal conclusions of violations, and quarterly statistical and summary information regarding written customer complaints."

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