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.
Powered By BrokerView, An Extensible Data Dictionary
SOLUTIONS FOR BROKER-DEALERS
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
CFTC / SEC Swap Dealer Requirements
Capital computation and other required reporting for covered swap dealers (standalone and registered) including new NFA reports
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
DOWNLOAD BrochureLearn about the impact of the new SEC Security-Based Swap Rules
READ MOREConnect with AxiomSL
Speak with a Sales Representative