13.4 Complaint Handling and Reporting

In this section

• Definition of a Complaint: Understanding FINRA Regulations and Compliance
  Learn the definition of a complaint in the securities industry, its importance, and how to handle and report complaints effectively according to FINRA regulations.
• FINRA Reporting Requirements: Comprehensive Guide for Series 6 Exam
  Master the FINRA Reporting Requirements for the Series 6 Exam with our detailed guide. Learn about the obligations for reporting complaints, the use of FINRA Gateway, Rule 4530, and best practices for compliance.