Solutions / FINRA Solutions

THE FINANCIAL INDUSTRY’S LEADING
FINRA COMPLIANCE SOFTWARE

Managing FINRA compliance can be a painstaking exercise for brokers-dealers and other financial institutions. DASH’s FINRA compliance software simplifies the process, improving accuracy while reducing the time and effort required to maintain compliance.

Scalable and secure, DASH 360R is the industry’s premier FINRA compliance software solution that helps calculate and monitor all your margin needs on a real-time basis.

FINRA 4210 | MARGIN
REQUIREMENTS

Risk Based Margin (RBM)
The RBM system helps users calculate risk based margins according to FINRA portfolio margin rules as amended in December 2006. If the user provides an optional basket composition file, RBM can also be used to generate basket composition reports.

Intraday (iRBM)
The intraday iRBM utilizes real-time prices and implied or static volatilities to generate real-time TIMS based equity and theoretical option values. This functionality employs low-latency option analytics to help users meet their capital monitoring requirements.

Option Margin Optimizer System (OMO)
OMO calculates customer margin charges according to FINRA Rule 4210. OMO calculates the lowest allowable charges in Common Stock, Single Stock Futures, Convertible Stocks and Bonds OTC Options, Equities, Broad / Narrow Based Indices and Currencies.

Day Trader Margin System (DTM)
DTM helps users calculate DTM charges according to FINRA Rule 4210, in effect on December 2, 2010. The system may be used as a standalone system or in conjunction with the OMO module.

FINRA 4524 | SUPPLEMENTAL FOCUS INFORMATION

Supplemental Inventory Schedule System (SISSY)
SISSY is designed for firms required to complete the Supplemental Inventory Schedule report that must be filed within 20 business days after the end of each firm’s FOCUS reporting period.

FOCUS Generator (beta)

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

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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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.