Solutions for U.S. broker-dealers cover reporting requirements and provide advanced drilldown and analytic capabilities
SEC Rule 15c3-1 requires firms to perform net capital computations that include haircuts (for securities), deficit calculations, and operational charges
SEC Rule 15c3-3 requires periodic calculation of reserve requirements to ensure adequate funds are on deposit to protect customer cash and securities
SEC, FINRA and other regulators require Financial and Operations Principal (FINOP) reporting that includes FOCUS and Supplemental Reports
FINRA Rule 4210 defines initial and maintenance margin requirements on brokerage accounts
U.S. Treasury requires the reporting of non-U.S. issued securities carried by the broker-dealer (TIC Reports)
SOC 1 Report, WORM compliant storage, and ISO 27001/27017 certifications assure regulatory-aligned reporting
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 MORESpeak with a Sales Representative