Trade Surveillance & Regulatory Compliance
SEC and FINRA Rule Compliance
As the regulatory hurdles of best execution grow in complexity, we stand ready to help firms embrace their SEC Rule 605/606, Rule 613 CAT, FINRA Rule 3310, and Best Execution regulatory 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.
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.
Ever-changing trading methods and the latest technical advances present brokers with increased oversight burdens and compliance challenges. Our Compliance+ software product offers a comprehensive and versatile set of features (including news feed insider-trading functionality) that allow you to comply with data-driven regulations within the global trading landscape.
The updated SEC 606 Rule holds the potential to transform the traditional broker/client relationship. Read our legacy article to understand more.
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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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