Broker-Dealer Regulatory Reporting Solutions and Data Management Platform

Data-driven platform enables successful broker-dealer regulatory reporting and satisfactory examinations and audit


Multiple Asset Classes + Multiple Net Capital Calculations + Constant ChangeComplexity and Costs

Broker Dealers


Bank-owned and stand-alone broker-dealers can reduce their cost to comply and strengthen audit outcomes by implementing AxiomSL’s data-management platform and its broker-dealer reporting solutions.

To learn more, download the U.S. Broker-Dealer Solutions brochure

Automated | Flexible | Function-Rich | Cloud-Enabled

Solutions for U.S. broker-dealers cover reporting requirements and provide advanced drilldown and analytic capabilities

  • Net Capital Calculations

    SEC Rule 15c3-1 requires firms to perform net capital computations that include haircuts (for securities), deficit calculations, and operational charges

  • Customer Protection Calculations

    SEC Rule 15c3-3 requires periodic calculation of reserve requirements to ensure adequate funds are on deposit to protect customer cash and securities

  • Margin Calculations

    FINRA Rule 4210 defines initial and maintenance margin requirements on brokerage accounts

  • FOCUS
    Reporting

    SEC, FINRA and other regulators require Financial and Operations Principal (FINOP) reporting that includes FOCUS and Supplemental Reports

  • Treasury Reporting

    U.S. Treasury requires the reporting of non-U.S. issued securities carried by the broker-dealer (TIC Reports)

Stand-Alone and Bank-Owned Broker-dealer Clients Are Utilizing AxiomSL’s RegCloud


Solutions for Broker Dealers

Find out how to streamline your TIC reporting process

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