Solutions / SEC Solutions


DASH’s integrated suite of SEC compliance solutions – Risk-Based Haircuts, Fixed Income Haircuts, Financial Reporting and more – reduces the administrative overhead needed to fulfill your regulatory capital and compliance requirements. DASH’s secure, SOC1 Type II-attested solution is fully customizable to meet your specific compliance and reporting needs.

SEC 15c3-1

Risk Based Haircut (RBH)
DASH’s RBH is designed to calculate haircuts for listed derivative securities and qualified stock baskets defined in the SEC amended net capital rule. RBH works in conjunction with the Basket Weaver and Wrapper modules.

Intraday (iRBH)
An integrated service package, iRBH provides real-time TIMS based intraday net capital haircut estimates to monitor your required moment-to-moment capital requirements.

Composition Maker (CoMa)
CoMa creates a basket composition file for use within RBH(M) to further optimize the universe of ETFs for basket relief. CoMA optimizes workflows and potential baskets inside the Basket Weaver.

Fixed Income Haircut (FIH)
FIH helps users compute capital charges for debt securities as defined in SEC rule 15c3-1. FIH also performs calculations for TBAs and customer/firm fails.

Securities Based Swaps (SBS)
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.

Repo / Reverse-Repo System (RRR)
RRR computes charges and capital deductions associated with repurchase and reverse repurchase agreements, as well as charges related to counter-party concentration, excess collateral, and excess aggregate repurchase deficits.

Stock Loan / Stock Borrow System (SBL)
SBL helps users comply with the Agent Lending Disclosure Initiative and calculate 15c3-3 stock loan and 15c3-1 borrow/loan charges.

SEC 15c3-3
Customer Protection Rule

Security Allocation Information Engine (SALLIE)
SALLIE assists broker-dealers in complying with the Customer Protection Rule SEC 15c3-3 by providing the user with more control over the security allocation matrix used in the reserve formula.

SEC 17a-5
Rules For Financial Reporting

Financial Reporting Responsibility (FRR)
FRR assists clients with a subset of SEC’s Rule 17a-5 (Rules for Financial Reporting) by generating a report that includes time stamps detailing the landscape before and after calculation.


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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