Report Center Online Guides
FINRA has developed online guides to help firms understand how to use some of FINRA's report cards. FINRA will continue to publish online guides as new report cards become available.
Equity Report Cards
Best Execution Report Card – Walks firms through this report card, which can help them monitor compliance with FINRA's Best Execution rule
OATS Compliance Report Card – Shows firms how this report card can help them track their late or unmatched reports related to OATS
Reg NMS Trade Through Report Card – Describes how firms can monitor their compliance with SEC Rule 611 of Reg NMS
MSRB Report Cards
MSRB G-32 Report Card Summary – Explains the filing counts provided in the Summary view of the MSRB G-32 Report Card.
MSRB G-32 Report Card, Submitted Filing Details – Provides definitions for and information about each of the fields provided in the Submitted Filing Details view of the MSRB G-32 Report Card.
Risk Monitoring Reports
Canceled and As-Of Trades Report – Helps firms navigate through this report, which displays the number of canceled and as-of equity trades reported for your firm on a monthly basis.
Customer Complaint Report – Explains how firms can use this report card to review statistics on customer complaints submitted per Rules 3070(c) and 351(d)
Customer Debits Report – Shows firms how to monitor the unsecured customer debit and margin debit data submitted to FINRA by clearing firms
Registered Representative Composition Report – Explains how the values on this report are derived, and how firms can request the detail for this report
Sales Practice Complaint Report – Helps firms review their quarterly sales practice complaints per representatives and sales revenue
TRACE Report Cards
TRACE Quality of Markets Report Cards – Provides guidance on the information available to firms in the Corporate Bond and Agency Debt TRACE Quality of Markets Report Cards.
If you would like online guides for other FINRA reports or have questions about the guides, please email the Report Center administrator.