NYSE Rule 4530

Key provisions:

• Reporting must take place promptly and no later than 30 days after the member organization knows or should have known of the event.
• Reportable events include:
  • findings involving violations of financial-related laws, rules, regulations, or standards of conduct;
  • written customer complaints involving theft, misappropriation of funds or securities, or forgery;
  • being named as a defendant or respondent in proceedings brought by a regulator or self-regulatory organization;
  • denial of registration, expulsion, suspension, or disciplinary action by a regulator or self-regulatory organization;
  • indictment, conviction, or a guilty or no contest plea to a felony or certain misdemeanors;
  • directorship, control, ownership, or association with a firm or financial institution that has been denied registration, suspended, expelled, or convicted of certain offenses;
  • being a defendant or respondent in certain financial-related civil litigation or arbitration matters involving judgments, awards, or settlements above specified thresholds;
  • being a defendant or respondent in certain customer, broker, or dealer claims resulting in judgments, awards, or settlements above specified thresholds; and
  • becoming subject to a statutory disqualification.
• Associated persons must report the existence of applicable reportable events to the member organization when those events relate to them.
• Statistical and summary information regarding written customer complaints must be provided to the Exchange on a quarterly basis.