FINRA CAT New Account Holder Type Consistency Report Card (30 Minutes)

FINRA recently introduced a new interactive report card designed to help firms proactively detect potential compliance problems and strengthen their oversight capabilities. The optional report card provides near real-time insights and interactive features to help identify reporting deficiencies and enhance your compliance programs.

To view the report card, you must have the entitlement: Firm View Equity Report Card

FINRA Speakers

  • Alexander Ellenberg, Sr Vice President, Strategic Regulatory Engagement
  • Douglas Pratt, Sr Director, Surveillance and Market Intelligence
  • Will Leahey, Director, Product Management

Resources

Account Holder Type Consistency Interactive Report Card
Direct link to report card

 

FINRA MEMBER REGISTRATION

 

CRCP Graduates

 

This event is open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.

The webinar will include a demonstration and a dedicated Q&A session. We encourage you to explore the new report card before the webinar so you can prepare your questions in advance.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

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