Regnology Reporting Hub for Broker-Dealers

A streamlined reporting solution for broker-dealers

Ensuring precise SEC and FINRA compliance through data mapping, calculations (15c3-1, 15c3-3), report generation and submission via Regnology Reporting Hub (RRH) and optimizing regulatory capital.

Key benefits

Robust compliance

Ensures adherence to SEC Rule 15c3-1, SEC Rule 15c3-3, and FINRA 4210.

Optimized regulatory capital and enhanced customer protection

Powerful calculation engines (formerly CG3-1) allow broker-dealers to optimize net capital requirements and customer reserve compliance.

Increased reporting efficiency

Leveraging RRH, an intelligent SaaS reporting platform, the entire reporting process is streamlined from data mapping and calculations to report submissions to regulators including SEC, FINRA and SIPC.

Unified reporting platform for all regulatory reporting needs

By leveraging common data input and the numerous advantages of cloud-empowered RRH, including data lineage, workflow management, and audit capabilities, multiple regulatory reports from different regulators are consolidated and simplified into one single platform.

Key features

Net Capital Rule: Compliant to SEC Rule 15c3-1

Comprehensive 15c3-1 calculation coverage and net capital optimization

Customer Protection Rule: Compliant to SEC Rule 15c3-3

Customer Reserve Security Allocation (CRSA) calculator automates the security allocation process for maintaining a Customer Reserve account and performs rapid calculations enabling broker-dealers to meet daily reporting deadlines efficiently. Integrated into RRH, it facilitates the generation and submission of FINRA AEP reports.

Customer Portfolio Margin: Compliant to FINRA 4210 rule

Customer Portfolio Calculator allows determine the collateral to be maintained for customer account margin for equities, options, and qualified stock baskets.

Electronic report submission

Facilitates electronic submission of FOCUS reports to SEC’s EDGAR or FINRA’s eFOCUS.

Broker-dealers reporting coverage

SEC and FINRA broker-dealer reports

FOCUS

(FORM X-17A-5 Part II, IIA, IIA Short, Schedule I, SSOI, Custody, OBS, SLS, SIS)

R1

Customer Margin Balance Report

Portfolio Margining file

17-H