Information Memos

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Number 12-14 18 May 2012
 
ATTENTION:    
 
TO:   ALL NYSE AND NYSE MKT EQUITIES MEMBERS AND MEMBER ORGANIZATIONS
 
SUBJECT:   MIGRATION OF THE FESC REPORT CARD APPLICATION

PLEASE SHOW TO YOUR COMPLIANCE OFFICER

Effective June 4, 2012, the FESC Report Card application currently available through the New York Stock Exchange's Electronic Filing Platform ("EFP") will be migrated to the Financial Industry Regulatory Authority's ("FINRA") Report Center. Consequently, New York Stock Exchange LLC and NYSE MKT LLC (collectively, the "Exchange") equities members and member organizations will no longer have access to FESC Report Cards through EFP and must access them instead through the FINRA Report Center at HYPERLINK "https://reportcenter.finra.org"https://reportcenter.finra.org or HYPERLINK "https://firms.finra.org"https://firms.finra.org.

In order to receive FESC Report Cards each month, each member organization's current authorized FINRA Report Center user must request access to the FESC Report Cards through the member organization's Super Account Administrator ("SAA"). Member organizations without current authorized FINRA Report Center access and non-FINRA members may register for access through HYPERLINK "http://www.finra.org/reportcenter"www.finra.org/reportcenter and click the "Sign up for access to the Report Center" link, or email HYPERLINK "mailto:reportcenter-admin@finra.org"reportcenter-admin@finra.org for further assistance.

Please note that the Summary Charts available within the EFP FESC Report Cards application will no longer be available post migration. Members and member organizations relying on the Summary Charts for future reference are advised to download and retain a copy of the Summary Charts and all related documentation prior to migration.

Regulatory questions regarding this Information Memo should be directed to:

Michael P. Fryer, Associate Director, FINRA, 917.281.3071.

Technology related questions regarding this Information Memo should be directed to:

Noah Egorin, Director, FINRA, 202.728.8068.

For assistance with gaining access to the FESC Report Cards on the FINRA Report Center, contact the FINRA Gateway Call Center at 301.869.6699.

For additional information regarding the FESC Report Cards, see Information Memos 08-31, 08-55 and 09-45.


NYSE Regulation, Inc




1. To determine your member organization’s SAA, log in to the FINRA Firm Gateway, click on "My Account" and view information from the "Applications & Administrators" link.
2. Additional information regarding registration will be available through the site.
3. New post-migration Summary Charts will be available through the FINRA Report Center.


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