The Report Center provides firms with secure access to data and reports that help firms detect potential compliance problems early. FINRA Report Center provides report cards that cover a variety of topics and rulesets.
Note: Reports on the Report Center do not relieve a firm from compliance obligations imposed under FINRA’s By-Laws and Rules, and will not limit or prevent FINRA from taking appropriate regulatory or disciplinary action against a firm or associated person for failure to comply with such rules.
Learn more about each category of reports via the links below.
- Corporate Financing Report Cards
This report displays statistics about late filings submitted to Corporate Financing through the Public Offering System.
- Cross-Market Supervision Report Cards
The Cross-Market Equities Supervision Manipulation Reports provide firms feedback on exceptions that were generated based on firms' order entries and trading activities in a given surveillance period. These reports are designed to assist firms with monitoring their supervision for trading behaviors that may be designed to manipulate the market.
- Disclosure Report Cards
Monitor a firm's performance in reporting disclosure and non-disclosure events and Web CRD late filing fee information.
- Equity Report Cards
Track your compliance with key equity trading rules related to OATS, Best Execution Outside-of-the-Inside, Market Order Timeliness, Trade Reporting and Reg NMS trade throughs.
- MSRB Report Cards
These reports display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
- Online Learning Report Cards
The CE Regulatory Element Report provides information about your firm's Continuing Education performance as well as industry performance for comparison.
- Options Reports
Daily reports that highlight exceptions and alerts found within the context of Large Options Positions Reporting as defined by FINRA Rule 2360(b)(5).
- Risk Monitoring report cards
These reports display summaries and statistics related to various risk factors, including canceled trades, sales practice and customer complaints, and more.
- TRACE Report Cards
These monthly reports cover trades of Treasuries, Securitized Products, Agency Bonds, and Corporate Debt that member firms reported to TRACE. Reports cover trade reporting requirements and customer pricing activities.