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About Broadridge

Trade Surveillance & Compliance

A better way to monitor trading and remain compliant.

Monitoring Prices Provided or Received on Trades for Best Execution

National best bid/Best offer – FINRA rule 5310

Identify Fraudulent or Manipulative Behaviors

  • Spoofing/layering
  • Marking the close
  • Manipulating the open
  • Wash sales

Streamline Your Trade Surveillance Operations

  • Order protection rule – SEC rule 611
  • Regulation SHO – SEC rule 201
  • Limit up-Limit down – SEC rule 608
  • Security concentration and order marking

An Experienced Team that Assesses Procedures, Processes, and Controls for Continued Success

  • Annual procedures and controls assessment
  • Electronic bluesheet reporting
  • Market access rules testing
  • Regulatory inquiries resources and support
  • Systems compliance and technology assessments
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Gain Transparency and Instant Access to Key Insights

Our managed and configurable solution provides tools to keep you connected to your workflows including:

  • Dynamic dashboards: create custom report cards to view exception data from multiple perspectives
  • Configurable quote window: define a +/- millisecond timeframe to assist in identifying flickering quotes and data latency
  • Case management: allows users to identify items that are under review, closed or flagged for pattern review. Users can also add notes and attachments to any items to create a detailed audit trail

  • Record sorting and filtering: quickly focus on items that require attention
  • Secure hosted solution: relieve your IT department of the processing and storage burden. Access your reports online
  • Reporting: download reports as Excel or CSV for further investigation and offline storage. Every record includes a hyperlink to its complete details online
Get in touch and see if our Surveillance and Compliance solution is right for you.

Get in touch and see if our Surveillance and Compliance solution is right for you.

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