About This Chapter
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.
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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Other chapters within the Series 6 Exam: Study Guide & Practice course
- Financial Advertising & Communications With the Public
- Describing Investment Products & Services
- Disclosing Financial Account Types & Restrictions
- Understanding Retirement Plans & Tax Advantaged Accounts
- Obtaining Basic Customer Information & Documentation
- Obtaining Customer Investment Profile Information
- Obtaining Supervisory Approvals for Investment Accounts
- Analyzing Investment Portfolios & Financial Statements
- Types of Underlying Securities
- Understanding Funds, Trusts & Investment Companies
- Understanding Municipal Fund Securities
- Variable Life Insurance & Annuity Contracts
- Tax Treatment of Investment Profiles
- Disclosing Investment Product Information
- Updating Investment Customers & Retaining Customer Records
- Processing & Confirming Financial Transactions