Sell-Side Services

Actionable Analytics & Regulatory Compliance

SEC Rule 605/606 Compliance

As the regulatory hurdles of best execution grow in complexity, we stand ready to help firms embrace their SEC Rule 605/606 regulatory responsibilities and implement the processes required, from the trading desk to the compliance office.  For the past 35 years, we have been helping firms understand, measure, and monitor their trade data.  Also, our enormous peer benchmark universe can empower you with the tools and context needed to define, monitor and explain best execution.

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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 regulatory  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 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 article to understand why.

 

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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