Risk Monitoring Report Cards
These reports and report cards display summaries and statistics related to various risk factors, including canceled trades, sales practice and customer complaints, and more.
|Title and Description||Documentation|
|Canceled and As-Of Trades Report
This report displays a summary of as-of trades and cancels in equity trading activity provided to FINRA by the firm's clearing party.
|Customer Debits Report
This report displays a monthly summary of unsecured customer debits and margin debits in customer accounts provided to FINRA by the firm's clearing party.
|Sales Practice Complaint Report
This quarterly report displays trends in sales practice complaints reported to FINRA on a quarterly basis, evaluated against the number of registered representatives at the firm and sales revenue of the firm.
|Registered Representative Composition Report
This quarterly report displays trends in the profile of registered representatives associated with the firm.
|Customer Complaints Report
This quarterly report displays trends in customer complaint information reported as required by FINRA Rule 4530.