FINRA Rule 4513: Records of Written Customer Complaints

FINRA Rule 4513 requires firms to preservice records of written customer complaints at each office of supervisory jurisdiction. This rule clarifies that the requirement only applies to complaints relating to that specific office or activities supervised from that office. These records must be retained for at least four years.

Firms may maintain these records either at the office of supervisory jurisdiction or make them available promptly to a separate office upon FINRA's request.

Link to Rule: http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=9959

Helpful Link: http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=10105