Web CRD Late Filing Fee Report
This report shows whether a firm submitted U4 and U5 filings in the required time frame. Provided on a monthly basis, the report assists in assessing and monitoring compliance with reporting obligations under FINRA's by-laws and rules. The report card allows you to download report card data directly into Microsoft Excel and receive automatic notifications when updated report cards are available. An example of this report card is included below.
Note: Use of this report does not relieve a member from complying with obligations imposed under FINRA's by-laws and rules and does not limit or prevent FINRA from taking appropriate regulatory or disciplinary action against a member or associated person. FINRA members should continue to rely on Web CRD for actual charges and assessments.
For questions or help, contact the Report Center administrator.