SEC and FINRA Rule Compliance

As best execution regulatory requirements grow in complexity, we stand ready to help firms embrace their SEC Rule 605/606, Rule 613 CAT, FINRA Rule 3310 AML, and Rule 5310 Best Execution responsibilities and trade surveillance needs.  From implementing the processes required to providing easy-to-use reporting mechanisms, our enormous peer benchmark universe and next-gen analysis can empower you with the tools and context needed to define, monitor and explain best execution.



Sell-Side TCA

Best-Ex Consulting

Trade Surveillance

Abel Noser is the industry-leading provider of Transaction Cost Analysis (TCA) for investment managers,  consultants and brokers. Hundreds of clients subscribe to our multi-asset TCA, trade surveillance and regulatory products.

From execution quality assessment and trade surveillance to custom reporting and MiFID2/PRIIPs compliance, Abel Noser has developed a reputation for being the most dependable provider of best execution services in the country.

 Our Compliance+ surveillance software product offers a comprehensive and versatile set of features that allow you to comply with data-driven regulations within the global trading landscape.


Request a Customized Quote

Learn how our powerful end-to-end trading and transaction surveillance platform can provide transparency and support your compliance mandates. Just click the button below to request a customized quote from us that is tailored to your company's brokerage model and throughput.


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