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.

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 Complaints Report
This quarterly report displays trends in customer complaint information reported as required by FINRA Rule 4530.

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.

Registered Representative Composition Report
This quarterly report displays trends in the profile of registered representatives associated with the firm.

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.