Managing FINRA-Reviewed Reports: Access and Approval
FINRA-Reviewed Reports are pre-built report templates in YCharts that have undergone formal review by FINRA. YCharts offers two FINRA-reviewed reports, the Comprehensive Overview Report and Comprehensive Comparison Report, both reviewed in April 2021. These reports are not pre-loaded into accounts by default; clients can request access by contacting their account manager or the YCharts support team.
Please find the correspondence with FINRA below. While our reports have been reviewed, YCharts strongly encourages you to share with your own compliance team or department for further review and to customize the disclosure with your firm's FINRA member name.
FINRA Review Letter - Comprehensive Overview Report
Submitted Comprehensive Overview Report
FINRA Review Letter - Comprehensive Comparison Report
Submitted Comprehensive Comparison Report