Net Capital Rule
SEC 15c3-1
Customer Protection Rule
SEC 15c3-3
Rules for Financial Reporting
SEC 17a-5
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.
Learn More OUR NEW SOLUTIONS
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.
learn more 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
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
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
360° Reg Insights
DASH RegTech FOCUS Generator
FOCUS Generator Solution Introduction & Background: FINRA member firms are required to compose and submit their Financial and Operational Combined […]
RegTech Insights 2022
Dash Regulatory Technologies is happy to have contributed to the RegTech research paper by Professor Andrew Sutherland of MIT (with […]
DASH SIFMA Panel Deck: US Broker-Dealer Regulatory Reporting 2020 & Beyond
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.