Capital Raising Report Cards
Report cards are created for firms to monitor timeliness of Capital Raising filings.
These report cards display statistics about late filings submitted to Corporate Financing.
Public Offerings Late Filings Report
This report displays statistics about late filings submitted to Capital Raising through the Public Offering System.
Private Placement Filing Timeliness Report Summary
A quarterly report on the timeliness of Private Placement filings submitted to Capital Raising, pursuant to FINRA Rules 5122 and 5123.
Public Offering Rule 5110 Filing Summary
A monthly summary of a firm’s Public Offering filings submitted to Capital Raising pursuant to FINRA Rule 5110.
This report card displays statistics about filings submitted to Capital Raising – Reg M.
Reg M – Rule 5190 Filings Report Card
This report card displays all offerings captured by FINRA's surveillance pattern during a quarter and identifies potential exceptions related to the firm's compliance with Rule 5190 notification requirements.