Please enable JavaScript.
Coggle requires JavaScript to display documents.
Unit 20: Complaint Resolutions (4qs) - Coggle Diagram
Unit 20: Complaint Resolutions (4qs)
Reporting Disciplinary incidents and handling customer complaints
Form U4 :check:
Qualified Investigated
Disclosure Reporting Pages (DRPs)
FINRA's Complaint Resolution methods and rules :star:
Customer Complaint Procedures / CHOOSE TO REPOND OR NOT AND THE MANAGER HAS TO DOCUMENT ON A FILE, QUARTERLY BASIS HAVE TO FILE A SUMMARY OF ALL OF THE COMPLAINTS OF THE QUARTER , HOW MANY COMPLAINTS
Code of Arbitration Procedure
Initation of proceedings
Mediation
Selection of Arbitrators
Arbitration Thresholds and Simplified Arbitration
Awards
Statutes of Limitations
The Code of Procedure (COP)
Availability of Manual to Customers
Reporting Requirements
Sanctions :check:
Clearly Erroneous Transactions
Complaints
Reclamation :check:
Closeout :check: