Compliance History Report
A compliance history report shows the information used to determine a compliance history rating and how that rating was calculated—and, therefore, how the classification was determined. The published lists and the database contain basic information and a classification. The corresponding report shows the full details.
To get a copy of a specific compliance history report:
- Using the Compliance History Database or a current list of compliance histories, find the customer or regulated entity you are interested in.
- E-mail email@example.com call 512/239-DATA (-3282) and give us the following information:
- If you want a report about a customer, the customer’s name and customer number (CN + 9 digits).
- If you want a report about a regulated entity and all customers affiliated with it, the regulated entity’s name and number (RN + 9 digits).
- The format you prefer—electronic (delimited ASCII) or hard copy (there will be a charge for a hard copy).
- If you are asking for a hard copy, your complete mailing address.
- A phone number or e-mail address we can use to contact you if we need more information to satisfy your request.
If you e-mail your request, we will respond within five working days.