Report Center Online Guides

FINRA has developed online guides to help firms understand how to use some of FINRA's report cards. FINRA will continue to publish online guides as new report cards become available.

 

Available Online Guides

 

Equity Report Cards

 

Best Execution Report Card – Walks firms through this report card, which can help them monitor compliance with FINRA's Best Execution rule

 

NMC Compliance Report Cards – Helps firms monitor compliance with FINRA Rules 7230A and 7330, which require firms to compare trades within 20 minutes after execution

 

OATS Compliance Report Card – Shows firms how this report card can help them track their late or unmatched reports related to OATS

 

Reg NMS Trade Through Report Card – Describes how firms can monitor their compliance with SEC Rule 611 of Reg NMS

 

Trade Reporting Report Cards – Demonstrates how the Reporting and Executing Firm Trade Reporting Report Cards help firms monitor their compliance with TRF Rules

 

MSRB Report Cards

 

MSRB G-32 Report Card Summary – Explains the filing counts provided in the Summary view of the MSRB G-32 Report Card.

 

MSRB G-32 Report Card, Submitted Filing Details – Provides definitions for and information about each of the fields provided in the Submitted Filing Details view of the MSRB G-32 Report Card.

 

Risk Monitoring Reports

 

Canceled and As-Of Trades Report – Helps firms navigate through this report, which displays the number of canceled and as-of equity trades reported for your firm on a monthly basis.

 

Customer Complaint Report – Explains how firms can use this report card to review statistics on customer complaints submitted per Rules 3070(c) and 351(d)

 

Customer Debits Report – Shows firms how to monitor the unsecured customer debit and margin debit data submitted to FINRA by clearing firms

 

Registered Representative Composition Report – Explains how the values on this report are derived, and how firms can request the detail for this report

 

Sales Practice Complaint Report – Helps firms review their quarterly sales practice complaints per representatives and sales revenue

 

TRACE Report Cards

TRACE Quality of Markets Report Cards – Provides guidance on the information available to firms in the Corporate Bond and Agency Debt TRACE Quality of Markets Report Cards.

 


If you would like online guides for other FINRA reports or have questions about the guides, please email the Report Center administrator.