Equity Report Cards (Duration: 46 Minutes) | FINRA.org

Equity Report Cards (Duration: 46 Minutes)

This session covers the monthly CAT/Equity trading compliance report cards:

  • Best Execution Outside-of-the-Inside report card,
  • Market Order Timeliness Statistical report,
  • Executing & Reporting Firm 10 Second Compliance report card,
  • Contra Executing & Contra Reporting Firm 20 Minute compliance report card,
  • Reg NMS Trade Through report card, and
  • Firm QMRC Summary Scorecard.

Additionally, the presentation will cover the new daily Account Holder Type Consistency and CAT - TRF/ORF Trade Data Consistency interactive report cards.

FINRA Speakers

  • Terry Kirby, Director, Surveillance and Market Intelligence
  • Will Leahey, Senior Director, Strategic Regulatory Engagement
  • Monica Thompson, Director, Surveillance and Market Intelligence
  • Sean Quinn, Director, Surveillance and Market Intelligence

Resources

 

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