DASH 360R provides comprehensive support for the following SEC rules:
Net Capital Rule
SEC 15c3-1
Customer Protection Rule
SEC 15c3-3
Rules for Financial Reporting
SEC 17a-5
Solutions
DASH 360R: THE GOLD STANDARD OF REGULATORY COMPLIANCE SOLUTIONS
DASH 360R was designed for broker-dealers and financial institutions burdened by complex compliance and reporting requirements. Built on our market-leading LDB platform, DASH 360R delivers powerful regulatory compliance solutions to automate and simplify the compliance process. DASH 360R is available in both on-premise and cloud-based versions.
SEC Solutions
FINRA Solutions
Customers can simplify FINRA compliance and reporting requirements with DASH 360R, including:
Margin Requirements
FINRA 4210
Supplemental Focus Information
FINRA 4524
Bespoke Solutions
For financial firms with specialized compliance and reporting requirements, DASH offers bespoke regulatory compliance solutions and consulting. From workflow analysis to white glove support, DASH can reduce the complexity and administrative overhead of your compliance initiatives.
360° REG INSIGHTS
Introducing 360R
Delivering the gold standard solution for US regulatory capital compliance, through state of the art data solutions, technology innovation and […]
Day Trader Margin (DTM) Factsheet
Day Trader Margin (DTM) System is designed to help users calculate DTM charges according to FINRA Rule 4210, in effect […]
Fixed Income Haircut (FIH) Factsheet
Fixed Income Haircut (FIH) is a program which is designed to help users compute capital charges for debt securities as […]
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.