Customer report workspace
Rule 606(b)(1) Preflight
Review the finished Rule 606(b)(1) customer package before delivery. RegPreflight checks the XML and publication PDF, reviews the six-month reporting period, documents the Not-Held Exempt basis, and prepares the supervisory record.
Review the customer report.
Add the XML and publication PDF file(s), enter the request details, review any findings, and complete sign-off.
Files stay on this device
🔒 Customer report files stay on this device.
Ready for a Rule 606(b)(1) customer report package.
1. Customer report package
Add the final XML and the PDF file or files the client plans to deliver. The PDF may come from an internal process, S3, or another reporting vendor. If the XML contains no reportable orders and no PDF was produced, XML alone is acceptable.
No XML loaded.
No PDF loaded.
2. Request details
Enter the request and report-production details that should appear in the supervisory record.
Add the XML to review the Not-Held Exempt section.
Preflight overview
Analysis in progress
Load the package to begin.
XML checks
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Required fields and report checks
PDF comparison
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Matches the XML
Review items
0
Items needing attention
Pending dispositions
0
Resolve before download
3. Population overview
Held Equities, Not-Held Exempt Equities, and Options remain separate throughout review and export.
| Population | Orders | Routes | Transactions | Report notes |
|---|---|---|---|---|
| Load XML to populate the report. | ||||
4. Held equities
| Order ID | Directed | Venue | MIC | MPID | Transaction |
|---|
5. Not-Held Exempt equities
| Order ID | Directed | Venue | MIC | MPID | Transaction |
|---|
6. Options
| Order ID | Directed | Venue | MIC | MPID | Transaction |
|---|
7. Items to review
RegPreflight's finding stays unchanged. Your disposition records how the item was handled.
| Severity | Priority | Check | Finding | Disposition + comment |
|---|---|---|---|---|
| Upload the report package to see review items. | ||||
8. Final sign-off
Scope of review
RegPreflight checks the finished report package and the review details entered here. It does not verify every customer order against the firm's underlying order-routing records. A separate source-data reconciliation is needed for that level of testing.
Load the required package.