Summary of disciplinary actions against firms and individuals for violations of FINRA rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board. Browsable by year and month going back to 1996.

Created for firms, these reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.

The CE Regulatory Element Report is published each quarter for any firm that has had at least one representative take a Regulatory Element CE session during the quarter. The report provides information about the firm's performance as well as industry performance during the quarter for comparison.

Large Options Positions Report (LOPR) – Listed and Large Options Positions Report (LOPR) – Over-the-Counter reports for firms.

Published each year, this Report on FINRA’s Risk Monitoring and Examination Activities (the Report) is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. For selected regulatory obligations, the Report: (1) identifies the applicable rule and key related considerations for member firm compliance programs, (2) summarizes noteworthy findings from recent examinations and outlines effective practices that FINRA observed during its oversight, and (3) provides additional resources that may be helpful to member firms.

A collection of reports and report cards created for firms to monitor their risk. Includes display summaries and statistics related to various risk factors, including canceled trades, customer complaints, customer debits, and registered representative composition.

Created for firms, these monthly reports cover trades of Treasuries, Securitized Products, Agency Bonds, and Corporate Debt that a member firm reported to the Trade Reporting and Compliance Engine (TRACE).  Firms are required to report trades in accordance with established FINRA rules and regulations.