Broker-dealers
Platform to growth
Whether bank-owned or stand-alone, you operate in a complex broker-dealer regulatory environment. SEC Rules 15c3-1, 15c3-3 and an array of FOCUS and CFTC reports are among the prominent requirements you face. Conducting your business in this landscape demands operational efficiency that delivers precise calculations and strong, transparent reporting and examination outcomes.
Futureproof your net capital, customer protection, and swap dealer calculations, and other reporting requirements with Nasdaq AxiomSL’s end-to-end specialized broker-dealer solutions. Running on our single RegCloud庐 enabled data management and reporting platform, we enable you to reduce operational risk and optimize TCO and comply with confidence.
Benefits for You
Increase functional coverage
With a single solution, AxiomSL covers net capital calculations (SEC rule 15C 3-1), focus reports (FINOP), margin calculations (FINRA rule 4210), customer protection (SEC Rule 15C 3-3) and treasury reporting (TIC reports).
Reduce operational risk
End-to-end user automation that removes manual process risk and established efficiency and auditability with an intuitive user-controlled workflow automation.
Secure calculations
Transparent functionality enables trusted net capital and customer protection formula calculations and related regulatory reporting.
-
Reduce data replication
A brokerview extensible data dictionary that enables multiple uses of same data across different calculations
-
Reduce regulatory infrastructure TCO
Cloud deployment allows rapid processing on large data sets and adaptability to business mix and regulatory requirements changes.
