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.



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