Copyright

Ch 17: Resolving Investment Disputes & Customer Complaints

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.

10 Lessons in Chapter 17: Resolving Investment Disputes & Customer Complaints
Test your knowledge with a 30-question chapter practice test
Errors, Cancels & Rebills in the Securities Industry

1. Errors, Cancels & Rebills in the Securities Industry

This lesson identifies the different types of errors that may occur in securities trading and explains why they happen. It also explains the process for correcting these errors and describes the required notifications and reporting.

Addressing Customer Complaints in the Securities Industry

2. Addressing Customer Complaints in the Securities Industry

In this lesson, we will review FINRA requirements for members when addressing customer complaints. We will also review disciplinary actions members can face if this rule is violated.

FINRA Rule 4530 Customer Complaints: Process & Reports

3. 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.

Investigations & Sanctions for Securities Law Violations

4. Investigations & Sanctions for Securities Law Violations

This lesson discusses FINRA Rule 8000 Series, which defines investigative procedures and sanctions for members violating federal securities laws. These procedural rules can be placed into three sections.

Formal Resolution Methods in the Securities Industry

5. Formal Resolution Methods in the Securities Industry

Disputes between clients and their financial advisers can be divisive and stressful. A formal resolution process is an imperative. In this lesson, we'll explore the various methods of dispute resolution used in the brokerage industry.

FINRA Rule 12000 Series: Arbitration Procedure for Customer Disputes

6. FINRA Rule 12000 Series: Arbitration Procedure for Customer Disputes

The Financial Industry Regulatory Authority oversees the adjudication of claims by customers against their investment firm. Rule 12000 discusses the rules and procedures for filing those claims and processing them through arbitration.

FINRA Rule 13000 Series: Arbitration Procedure for Industry Disputes

7. FINRA Rule 13000 Series: Arbitration Procedure for Industry Disputes

Investment firms who are members of the Financial Industry Regulatory Authority (FINRA) often have disputes with each other. FINRA Rule 13000 provides rules and regulations requiring members to arbitrate disputes through FINRA.

FINRA Rule 14000 Series: Code of Mediation Procedure

8. FINRA Rule 14000 Series: Code of Mediation Procedure

The Financial Industry Regulatory Authority (FINRA) passes rules on how disputes in the investment industry are to be handled. FINRA Rule 14000 details the rules for mediating claims between two parties.

Uniform Application for Securities Industry Registration or Transfer

9. Uniform Application for Securities Industry Registration or Transfer

This lesson provides an overview of the registration process for licensed security employees. Aside from the initial registration, we also discuss the ongoing training requirements and what happens to your license if there is a lapse in employment.

FINRA Rule 4530 & Other Reporting Requirements

10. 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.

Chapter Practice Exam
Test your knowledge of this chapter with a 30 question practice chapter exam.
Not Taken
Practice Final Exam
Test your knowledge of the entire course with a 50 question practice final exam.
Not Taken

Earning College Credit

Did you know… We have over 220 college courses that prepare you to earn credit by exam that is accepted by over 1,500 colleges and universities. You can test out of the first two years of college and save thousands off your degree. Anyone can earn credit-by-exam regardless of age or education level.

To learn more, visit our Earning Credit Page

Transferring credit to the school of your choice

Not sure what college you want to attend yet? Study.com has thousands of articles about every imaginable degree, area of study and career path that can help you find the school that's right for you.

Support