White Paper

RegSHO Rule 204

Optimizing compliance accuracy and efficiency.

RegSHO Rule 204
posted March 26 2019
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Richard Stinchfield
Richard Stinchfield Social Icon Linkedin
Senior consultant,
Broadridge GTO Professional Services
Martin Seagroatt
Martin Seagroatt Social Icon Linkedin
Marketing Director,
Broadridge Securities Finance and
Collateral Management

This paper examines Regulation SHO Rule 204 compliance and helps firms answer the following questions:

  1. How reliable are my current Reg SHO Rule 204 processes in mitigating the risk of rule violations?
  2. Is my current Reg SHO Rule 204 process optimal in terms of the amount of manual effort and operational strain involved in compliance?
  3. How can technology help to systematically improve Reg SHO Rule 204 compliance?
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