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Daily Compliance Error Rate


Effective July 27, 2020, the Daily Compliance Error Rates on the Reporter Portal Reporting Summary screen are calculated as follows:

Product Type

Calculation

Equities (Accepted Late + Outstanding Rejections (Ingestion and Intrafirm) + Outstanding Intrafirm Unlinked Events + Outstanding Out of Sequence Events)/Total Processed
Options (Accepted Late + Outstanding Rejections (Ingestion Only)/Total Processed
ALL {(Accepted Late + Outstanding Rejections (Ingestion and Intrafirm) + Outstanding Intrafirm Unlinked Events + Outstanding Out of Sequence Events) for EQUITIES +
((Accepted Late + Outstanding Rejections (Ingestion Only) for OPTIONS)}
/Total Processed

 

Note: The records counted in the numerator of the Daily Compliance Error Rate are a distinct count of Events. For example, if a record that is reported late has an out of sequence event and an intrafirm unlinked event, then it will be counted only once in the Daily Compliance Error Rate.