Disclosure Report Cards

Monitor a firm's performance in reporting disclosure and non-disclosure events and Web CRD late filing fee information.

Title and Description Documentation
Firm Totals - 4530 Disclosure Filings report card
This report card shows a firm's performance in timely reporting of disclosure events as required by FINRA Rule 4530. This report includes disclosures submitted to FINRA's Rule 4530 Application; it does not include disclosures filed via Forms U4 or U5.
Web CRD® Form BD Timeliness report card
This report card shows a firm's performance in timely reporting of disclosure and non-disclosure events as required by Article IV, Section 1(c) of the FINRA By-laws. This report includes events submitted to FINRA in Web CRD via the Form BD
Web CRD Late Filing Fee report
This report provides monthly statistics for up to a twelve-month period on late Form U5 filing fees, as well as late Form U4 amendment, Form U5 and Form U5 amendment disclosure filing fees assessed by FINRA against a member firm.