Broker-Dealer Regulatory Reporting Solutions and Data Management Platform

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 broker-dealer regulatory reporting solutions via secure RegCloud or on-premises.

AxiomSL | Industry - Broker-Dealer

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SOLUTIONS FOR BROKER-DEALERS
  • All
  • Finreg
  • Shareholding Disclosures
  • Tax
  • Trade & Transaction

Learn more about our U.S. Broker-Dealer Regulatory Reporting Solutions

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

FOCUS Reporting

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

Margin Calculations

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

Treasury Reporting

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

Regulatory-aligned RegCloud

SOC 1 Report, WORM compliant storage, and ISO 27001/27017 certifications assure regulatory-aligned reporting

Broker-Dealers

Learn more about AxiomSL’s U.S. Broker-Dealer Regulatory Reporting Solutions

Learn about the impact of the new SEC Security-Based Swap Rules

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