This Practice Note provides an overview of the broker-dealer requirements under FINRA Rule 4530. It discusses the specified events that must be reported to FINRA, including if the firm has concluded that the firm or an associated person of the firm has violated any securities or other investment-related laws, rules, regulations, or standards of conduct of a regulatory body or self-regulatory organization. This Note also discusses the quarterly FINRA filing of statistical and summary information regarding written customer complaints and the prompt filing with FINRA of copies of specified criminal actions, civil complaints, and non-FINRA arbitration claims.