THE GOLD STANDARD

SOLUTION FOR US REGULATORY CAPITAL COMPLIANCE

For 30+ years, DASH Regulatory Technologies has been the industry’s leading choice for capital markets regulatory and compliance software solutions. Known as the gold standard, we deliver the most accurate, reliable, and optimized solutions that help top financial firms simplify the complex world of compliance.
SOC 1 Type 2 Certified. DASH 360R is the first and only RegTech solution in the broker dealer industry to achieve SOC1 Type 2 attestation.

SECURITIES BASED SWAPS

WITH DASH 360R

We have developed a new and robust SBS haircut add-on offering that will complement our ‘gold standard’ LDB suite of products. The system will consider any swaps and SBSs in the position file and optimize the haircut calculation in accordance with the standardized matrix proposed under Exchange Act Rule 15c3-1 (as amended) and CFTC ruleset.
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OUR NEW SOLUTIONS

Intraday API

The Intraday API offering will cover intraday calculations for TIMS risk array and day trading buying power based on OMS / trade execution feed.
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FOCUS Generator

The FOCUS Generator integrates the current robust suite of 15c3-1 calculations with additional user-inputs to generate a FOCUS report in the prescribed eFOCUS format.
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CONQUER COMPLIANCE

WITH DASH 360R

As the next generation of our industry-leading LDB platform, DASH 360R is a comprehensive, hosted regulatory reporting portal, delivering a sophisticated suite of solutions to simplify the ever-changing compliance landscape. With DASH 360R, you can quickly generate reports and streamline audit, back office, and reconciliation efforts through a single platform.
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COMPREHENSIVE REGULATORY
CAPITAL SOLUTIONS

DASH 360R covers everything you need to fulfill regulatory capital and compliance requirements, including Risk-Based Haircuts, Fixed-Income Haircuts, Financial Reporting, and more.

SEC Solutions

Net Capital Rule
SEC 15c3-1

Customer Protection Rule
SEC 15c3-3

Rules for Financial Reporting
SEC 17a-5

FINRA Solutions

Margin Requirements 
FINRA 4210

Supplemental Focus Information
FINRA 4524

Bespoke Solutions

Consulting & Advisory services for all your net capital needs

Comprehensive analysis to optimize your workflow

Customized and out-of-the-box solution(s)

Tactical and strategic recommendations for your regulatory reporting process

WHY CHOOSE DASH 360R?

Customized for You

Your business is unique, so we developed our platform to be intuitive and flexible to enable a tailor-made solution best suited to you.

Streamlined Automation

The most accurate net capital calculations with parallel optimizations and real-time capabilities for moment-to-moment computations.

SOC Secure

With industry leading standard SOC1 Type II attestation, your data is protected with iron clad security, minimizing your risk.

Bespoke Performance

Built on the AWS backbone, DASH 360R always gives you peak performance for the most demanding tasks.

White Glove Support

We are always available to troubleshoot your technical and regulatory issues, 24 x 7.

Best in Class

With deep industry alliances and LDB’s core capabilities for over 30+ years, we continue to raise the bar for broker dealer regulatory reporting.

A HISTORY OF EXCELLENCE & INNOVATION

1987
LDB Consulting founded by industry veteran Len D. Bole, launching the LDB platform to address regulatory capital compliance and reporting
1994
First LDB regulatory offering, Risk Based Haircut (RBH) launched
1997
Fixed Income Haircut (FIH) offering introduced
1999
Risk Based Margin (RBM) and Option Margin Optimizer (OMO) solutions launched
2002
Repo/Reverse Repo (RRR) system ​added to regulatory product suite
2003
Stock Borrow/Loan System (SBL) introduced
2010
Stock Allocation Engine (SALLIE) added to regulatory product suite
2011
LDB Consulting is acquired by Liquid Point
2017
Supplemental Income Schedule System (SISSY) launched. Company re-brands as DASH Regulatory Technologies
2020
DASH 360R, LDB's SaaS solution launched
2021
DASH 360R becomes first and only regtech to achieve SOC1 Type 2 attestation

Who we serve

DASH is the industry leader, supporting financial markets firms of all sizes with their SEC and FINRA regulatory capital compliance needs.
Clearing & Non-Clearing Broker Dealers
Prime Services Providers
Market Makers
Proprietary Trading Firms
Capital Markets Firms

Client Testimonials

Great products and service. I'm a happy client for over 15 years.
Principal Financial Officer, One of the Top Global Capital Markets Firm
The entire firm receives benefit from DASH RegTech's products as the efficiency of Risk Based Haircut (RBH) software allows more regulatory capital to be used by the business.
Top European Bank's US Broker Dealer Regulatory Reporting Team

Go for gold

Don’t take chances with risk. Go with the industry’s gold standard solution for your capital markets regulatory and compliance software needs.