Resolving Investment Disputes & Customer Complaints - Videos & Lessons

About This Chapter

Make learning easy with this chapter on resolving investment disputes and customer complaints, which includes FINRA Rule 4530 reporting requirements and the Uniform Application for Securities Industry Registration or Transfer. The lessons can help you quickly prepare for an exam.

Resolving Investment Disputes & Customer Complaints - Chapter Summary

Heighten your knowledge of what's required to resolve investment disputes and customer complaints with these concise lessons. Experts go over the FINRA Rule 13000 Series as it relates to applying the Code of Arbitration Procedure to industry disputes. This chapter can also help you better understand the consequences of failing to properly address customer complaints in the securities industry. After reviewing the lessons, you should be ready to:

Explain how different errors occur in the securities industry
Outline reports required according to FINRA Rule 4530(d)
Provide an overview of the FINRA Rule 8000 Series
Describe formal resolution of customer complaints in the securities industry
Relate how to apply the Code of Arbitration Procedure to customer disputes
Discuss form U4 reporting requirements
Summarize the Code of Mediation Procedure
Describe reportable events according to FINRA Rule 4530

Engaging and mobile-friendly, the lessons in this chapter can help you understand what's involved in resolving investment disputes and customer complaints. If you get stuck on a topic, you can submit questions to experts. There are even short lesson quizzes that enable you to check your understanding of the concepts studied. Stay organized by tracking your completed lessons and quiz results on your personal dashboard.

2 Lessons in Chapter 17: Resolving Investment Disputes & Customer Complaints

1. FINRA Rule 4530 Customer Complaints: Process & Reports

FINRA Rule 4530 requires reporting of written customer complaints. But how is this done? This lesson will look at the process and reports for Rule 4530.

2. FINRA Rule 4530 & Other Reporting Requirements

What types of activities do financial professionals need to report? In this lesson, we'll examine reporting requirements for certain activities, including those covered by FINRA Rules 4530 and 4580.

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