Dynamic Reporting

User Guide

Version 0.3 06-29-20

Revision History

DATE AUTHOR VERSION DESCRIPTION 10-04-19 Zolboo Dashzeveg 0.1 Initial draft 01-10-20 Zolboo Dashzeveg 0.2 Updated Dynamic Reporting style to reflect the new FINRA

Gateway that’s coming as part of FINRA’s Digital Experience Transformation initiative.

The count columns will appear in the report grid when any or all columns under a top-level column is selected to be displayed in the grid. For example, if you’ve selected Regulator Code column under Registrations in Individual Roster template, you will need to click on the Registrations count to see the associated regulators with the individual’s registrations.

01-01-20 Sarah Rose 0.3 Updates to include feature changes to export, columns, and filtering. Added tips can tricks on transition from CRD Reports to Dynamic Reporting.

Table of Contents

Introduction ............................................................................................................................................................. 1

Feedback and Support ......................................................................................................................................... 1

Accessing Dynamic Reporting .................................................................................................................................. 2

Entitlements ........................................................................................................................................................ 2

Browser Support .................................................................................................................................................. 2

Pick a Template ........................................................................................................................................................ 2

Moving from CRD Reports and Queues to Dynamic Reporting .......................................................................... 3

Table Features .......................................................................................................................................................... 5

Scrolling within the Table .................................................................................................................................... 6

Adjusting the Table Layout .................................................................................................................................. 7

Change the Columns ................................................................................................................................................ 9

Grouping ................................................................................................................................................................ 12

Removing Groups .............................................................................................................................................. 14

Filtering the Data ................................................................................................................................................... 15

Remove Groups ................................................................................................................................................. 19

Save a Custom Report ............................................................................................................................................ 19

Delete a Custom Report .................................................................................................................................... 21

Exporting the Report .............................................................................................................................................. 22

Advanced Export ................................................................................................................................................ 23

Printing your Report .............................................................................................................................................. 26

Page 1

Introduction Dynamic Reporting, first released in October 2019, was created to make it easier for firm registration and compliance staff to answer common questions and make informed decisions using the most current individual and branch data available. Now accessible through FINRA Gateway, Dynamic Reporting continues to grow the data sets available for on demand, ad hoc reporting. This User Guide provides an overview of this new capability with a step-by-step instruction for the firm users. This is a companion document to the following Dynamic Reporting Resources:

- Dynamic Reporting Video Tutorial, https://www.finra.org/filing-reporting/dxt/dynamic-reporting This resource provides a quick-start video tutorial and overview of Dynamic Reporting.

- Dynamic Reporting Individual Data Dictionary, https://www.finra.org/individual-data-dictionary-dr. This resource provides description of all data and allowable values for Dynamic Reporting with Individual dataset.

- Dynamic Reporting Branch Data Dictionary, https://www.finra.org/branch-data-dictionary-dr. This resource provides description of all data and allowable values for Dynamic Reporting with Individual dataset.

Feedback and Support If you have a feature suggestion, technical issue, data issue, or other request, you can create a support ticket in FINRA Gateway and our team will review and get back to you. If you do not have access to FINRA Gateway, you can use our feedback form here: https://finra.aha.io/idea_portals/4ed89c5d3528ae736c7cfadd1e5f959d/ideas/new.

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Accessing Dynamic Reporting Entitlements Dynamic Reporting available through the Reports tab in FINRA Gateway. Currently, only broker-dealer firm users with “My CRD – Reports” entitlement can ACCESS to Dynamic Reporting.

Dynamic Reporting available through the Reports tab in FINRA Gateway. Access the FINRA Gateway at https://gateway.finra.org and insert your credentials and click Accept.

Browser Support To access Dynamic Reporting application, the firm users will need one of the following web browsers: Chrome, Safari, Firefox or Edge. Dynamic Reporting does not support Internet Explorer. Note: Internet Explorer support will be phased out for FINRA applications.

Pick a Template Picking the right template is the first step to using Dynamic Reporting. We have provided descriptions for each template to help guide your decision making.

Dynamic Reporting templates, in the right section of the page, are set up to get you started creating your own custom reports. Once you create a custom report, it will appear in the My Custom Reports section.

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Moving from CRD Reports and Queues to Dynamic Reporting CRD customers can use Dynamic Reporting instead of many (but not all) CRD Reports and Queues. Knowing the right template to pick will help you get started. The following table was created for CRD customers transitioning to Dynamic Reporting.

REPORT OR QUEUE TYPE

CLASSIC CRD QUEUE DYNAMIC REPORTING TEMPLATE

INDIVIDUAL CE QUEUES

CE Required CE Satisfied CE Inactive Approaching CE requirement CE 2-Year Termed

Individuals by CE Status

or

Individuals with an Upcoming CE Obligation

INDIVIDUAL REGISTRATION QUEUES

Approved Individual Registrations

Purged Individual Registrations

Denied Individual Registrations

Inactive Registration Due to Missing Fingerprint Card

Current Individual Deficiencies

Individuals by Registration Status

or

Recently Approved Individual Registrations

Individuals with Pending Registrations

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REPORT OR QUEUE TYPE

CLASSIC CRD QUEUE DYNAMIC REPORTING TEMPLATE

Pending Individual Registrations INDIVIDUAL DISCLOSURE QUEUES

Disclosure Review Notice Individuals with Reportable Disclosures

INDIVIDUAL EXAM QUEUES

Completed Exams

Scheduled Exams

Individuals by Exam Status

or

Recently Completed Examinations

INDIVIDUAL TERMINATION QUEUES

Termination

Manual Termination

Temporary Registration Cancellation

U5

U5 Late Fees

Individuals by Registration Status

or

Terminated Individuals by Reason Code

FINGERPRINT QUEUES

Fingerprint Status Received from FBI

Notices of Undelivered Fingerprint Cards

Customers can use the existing CRD Queues until these data sets are available in FINRA Gateway.

BRANCH QUEUES Branch Status

Branch Deficiencies

Branch Roster

or

Branches by Deficiency status

or

Active and OSJ Roster

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Table Features To get started exploring the table features available in Dynamic Reporting, open the Active Individuals Roster.

Note that within the table certain data points appear in blue font. You can click on any one of those numbers to expand the table to view details about that data point within a sub-table.

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To collapse the expanded table, click on the number again.

Scrolling within the Table The table has scroll bars at the right and bottom of the table to allow you to scroll vertically or horizontally within the table. If you expand a sub-table within the table, the sub-table will also have horizontal and vertical scroll bars.

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Depending on how much data you have on your screen, you may have to use your browser scroll bar to scroll down before you see the horizontal scroll bar at the bottom of the table used to scroll the table horizontally.

Adjusting the Table Layout Sort columns by clicking on the column heading. Columns can be sorted by ascending or descending values (numeric or alphabetical). Dynamic Reporting currently does not support count sorting e.g. Registrations. When you apply sorting to a column, an arrow will indicate the type of sorting (ascending or descending) that you applied.

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To adjust the order in which columns appear in your table, you can click and hold the column heading and drag it into the position of your choice.

To access additional column formatting options, mouse your cursor over the column heading and the icon below will appear. Click on the icon to access more options.

Click on the icon that appears to access the column menu options.

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To copy a value from the table, select the value and right click. You will have the option to Copy or Copy with Header.

Change the Columns Use the Column tool to add or remove columns from your table. Open the Columns tool.

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Within the Column tool you will see all available columns listed on the left, and all the selected columns listed on the right.

Note there is an indicator for instances where a column has nested columns within it. Click the icon to expand a column value to see the columns that are available for the sub-table for that data point.

You can remove columns by clicking wherever a column is selected to uncheck that column. You can uncheck columns from the left or right side of the Column tool to remove them from your display.

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You can unselect all selected columns by using the Clear All option at the top of the Column tool.

Use search box to search for columns by keyword. Just type a keyword into the search box at the top.

If a column you search for appears nested under a parent column, the parent column will appear in the search result. You can click to expand to verify the nested columns available. You must add the parent column if you want to include a child column.

You can use the Cancel button to exit the Column tool without applying changes. Click the Apply button to apply the column changes you made to the table.

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Once you apply the changes, you can click and drag the columns in the table to reorder them the way you’d like.

Grouping The Group tool is a powerful resource for exploring your data. Certain templates are grouped as a default. When you open a template, such as Individuals by Registration Status, you can see the Group information at the top of the page. This shows what the data is Grouped By. In the column named “Group” you can see the groupings with counts of records within each group. Grouping by Registration Status gives you a view of all registration statuses within your data set.

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Imagine you want to see individuals at your firm organized by Employment Type. Open the Active Individuals Roster. Click on the Group tool. Within the Group tool, scroll to the Employments group. Expand that Group to select Employment Type Code. When you have made that selection, click Apply.

Note: You can click Expand All Groups if you want to see the parents and the children. You can also Clear All Groups if you want to restart. You can click Cancel to exit the Group tool without applying changes.

After you click Apply to apply the grouping by Employment Type Code to the Active Individuals Roster, you will get a count of individuals within Employment Type.

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You can click on the group to expand and view details.

Removing Groups If you want to remove applied groups, open the Group tool. You can remove applied groupings by clicking the “X” on the group tag at the top, deselecting the selected group, or clicking Clear All Groups at the bottom. Click Apply to apply changes.

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Filtering the Data The Filter tool allows you to refine the data set to include only the records you need. You can filter by any data point you choose.

To get started with filters, choose the Individuals by CE Status template. Then click on the Filter tool.

Within the Filter menu, you can search by keyword to find the filter you need. For this example, search on the word “Window.” In the right top of the Filter window, there is a link to Data Definition. Data dictionaries exist for individuals and branch data sets.

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For this example, choose CE Sessions – Next Window Begin Date. Notice where the value is set to Equals. Click on that box to expose the menu options.

Choose the In Range filter option.

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Once you select In Range you will have options for the type of relative date filter you want to create. For this example, choose the Relative Range option. Then choose Months by clicking on the Months tab. Then, select the Next option and specify 2 months.

Click the Add button to add the filter. Note that when you have successfully added a filter, you will see a blue tag at the top of the Filter tool window with a description of the filter you added.

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Once you have added the filter, click the Apply button to apply the filter and close the Filter tool. Notice the change to the data.

You can click on the CE Status group to expand. Click on the number of CE Sessions to view upcoming session details. Notice the Next Window Begin Date will be for a date within the next 2 months.

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Remove Groups To remove filters, open the Filter tool. You can remove applied filters by clicking the X on the blue filter tag, or you can click Clear All to remove all filters. Click Apply to apply filter changes.

Save a Custom Report Use the Save tool to save your settings.

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Within the Save tool, you can specify a name for your report. You can use letters, numbers and hyphens when creating a report name. I am naming mine “CE Window Beings in Next 2 Months” to reflect the type of filters I used for this template. Once you have named your report, click Save.

Once you save your template, the title of the template will change to the name you specified when you saved it.

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Next time you log into Reports, you will see your saved template in the My Custom Reports section.

When you open the saved template, it will contain the most up-to-date data available. If you applied a relative date range filter, the filter will calculate based on the current date. Meaning, your template will always show the CE Window in Next 2 Months data.

Delete a Custom Report To delete a custom report, click the trash bin icon in the row of the report you wish to delete. You will be asked to confirm that you want to delete that report.

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Exporting the Report The Export tool allows you to export the data you have selected to a CSV file in a Zip file to condense the file for download.

We recommend you filter down the data to include only the records you need prior to exporting. The smaller the data set you export for download, the quicker the processing time. Exporting extensive records could take up to 10 minutes to download.

We also recommend you minimize or eliminate groups when you export data. If a record appears in more than one group, you will have duplicate records in your export.

Lastly, to speed download time, you can remove any unnecessary columns from your view.

To get started with export, click the Export tool.

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Within the Export tool, you will see you have the option of a Quick Export or Advanced Export. Use Quick Export to download the table without including any sub-tables. Use Advanced Export to select a sub-table to include in the export.

Advanced Export Choose the Advance Export option to specify a sub-table to include in your export. You will see the options of sub-tables you can include in your export in the Advanced Export menu. Select the sub-table you want to include. You can only select one sub-table to include in your export. Click Export.

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The export user experience may vary slightly depending on the type of browser you use. This example is done using the Chrome browser. Note the bottom of the browser window shows the file download. You can click the arrow and choose Show in Folder to open the location where the file downloaded. Click Open to open the export file.

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When you Open the export file, it will open in the WinZip or similar. From there, you will have options on where to export the file.

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The file will be saved with the name of the template or custom report and the date of the download in CSV file format. Open in Excel to customize the download further.

Printing your Report To print a report, click Ctrl+P (Windows) or Command+P (Mac) on your keyboard. Print screen will pop-up in your browser. Choose your settings and click Print using system dialog and click Print button.