Finra rule 2111 complinet Form

Finra rule 2111 complinet Form: What You Should Know

The Complaint System enables complainants to enter a complaint without having to provide the name of the firm and the business address on the complaint. Complaints filed on the Complaint System are reviewed by the Office of Anti-Harassment and Compliance before a decision is made on whether to file a complaint with the Department of Business Oversight. The Complaint Program is available to both retail and institutional customers, and will be used to investigate complaints about any activity undertaken by a broker, dealer or affiliated person.  File a Dispute | FINRA.org File an inversion | FINRA.org (FINRA en la inversion) FINRA enforces the inversion rule. If the Commission's investigation and/or enforcement process cannot be concluded within 180 days, the Division of Enforcement (the “Division”) may seek resolution of the matter through mediation and/or private conciliation as appropriate. If a complaint is received, the Division must have a reasonable time to perform its responsibilities under the Act, including providing notice to the complainant of its decision to proceed with the investigation and filing a written notification, if appropriate, and to notify each party of the Division's determination that it can bring the matter before a hearing officer or the Commission. The Division must have a reasonable time to conduct the investigation to which a complaint relates. At the conclusion of the investigation, the Division must inform the parties of its determination to proceed with legal and regulatory enforcement action against the broker, dealer or affiliate, subject to review by the Commission for its compliance; as the Division concludes its investigation, each participant and other interested parties the Division has identified may request a hearing before a hearing officer. File a Complaint | FINRA.org For detailed information about the inversion rule's enforcement options, click here. File a Dispute | FINRA.org Frequently Asked Questions | FINRA.

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