Data-driven platform enables successful broker-dealer regulatory reporting and satisfactory examinations and audit
Multiple Asset Classes + Multiple Net Capital Calculations + Constant Change = Complexity and Costs
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
ReportingSEC, 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 ―
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Solutions for Broker Dealers
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