FINRA report cards enable firms to track their compliance with key equity trading rules - i.e., OATS, best execution, market order timeliness, trade reporting, Reg NMS Trade Throughs, and Nasdaq Market Center (formerly ACT). Access to Equity Report Cards. Firms can access all of the report cards below - although some reports within this group may not be applicable to a particular firm. Firm Summary Scorecard. The scorecard provides an overview of performance and comparison statistics from each of the report cards listed below for the current and preceding months. OATS Compliance Report Card. This report card provides, on a monthly basis, the number and percentage of OATS late submissions, out-of-sequence events, unmatched execution reports, unmatched Nasdaq Execution System route reports, unmatched inter-firm route reports, unmatched inter-firm routes received, and unrepaired repairable rejected order events.  Firms can drill down to view daily OATS information.  [view tutorial] Best Execution Report Card. This report card details the number of transactions in which your firm participated that were executed outside of the inside market in apparent violation of the FINRA's Best Execution Rule.  This provides statistics as to compliance with the Best Execution Rule, NASD Conduct Rule 2320.  [view tutorial] Market Order Timeliness Report Card. This report card ("MOT") is a monthly status report detailing the number of market orders that were delayed in receiving a full execution in apparent violation of the FINRA's Best Ex Rule, NASD Conduct Rule 2320.  [view tutorial] Executing Firm Trade Reporting Report Card. This monthly report card provides a status report for trades that another firm reported on behalf of the executing firm (market participant).  The report contains counts of marked and unmarked late trades, as well as the percentage of marked and unmarked late trades to total trades reported.  [view tutorial] Reporting Firm Trade Reporting Report Card. This monthly report card provides a status report for trades that the market participant reported for itself or on behalf of another market participant.  It contains counts of marked and unmarked late trades, as well as the percentage of marked and unmarked late trades to total trades reported.  [view tutorial] Executing Firm NMC Compliance Report Card. (Formerly ACT Compliance Report Card.)   This monthly report card shows compliance by market participants with the requirement that Order Entry Executing Firms accept or decline trades in the NASDAQ Market Center (NMC) within 20 minutes of trade execution. It provides information about the number of trades that compared in NMC within 20 minutes of executing time and in increasing lengths of time later than 20 minutes after execution time, as well as the percentage of those trades to total trades executed. For trades market with the .PRP modifier, the report card looks at report time instead of execution time .  [view tutorial] Reporting Firm NMC Compliance Report Card. (Formerly ACT Compliance Report Card.) This monthly report card shows compliance by market participants with the requirement that Order Entry Reporting Firms accept or decline trades in the NASDAQ Market Center (NMC) within 20 minutes of trade execution. It provides information about the number of trades that compared in NMC within 20 minutes of execution time and in increasing lengths of time later than 20 minutes after execution time, as well as the percentage of those trades to total trades executed. For trades marked with the .PRP modifier, the report card looks at report time instead of execution time.  [view tutorial] Reg NMS Trade Through Report Card. This report card details the transactions in NMS securities that your firm reports to a Trade Reporting Facility or to FINRA’s Alternative Display Facility at a price that traded through at least one protected best bid or offer at execution. The report card includes a rolling 6 months’ worth of data, allowing firms to monitor trends of this activity over time.  [view tutorial] For further details, go to:   [FINRA Equity Report Cards page, as of 10/31/11]