Unparalleled knowledge of net capital compliance

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One source for broker compliance

RegComp's Regulatory Reporting practice focuses on compliance with SEC Net Capital Rule (Rule 15c3-1). Our experts have remarkable breadth of expertise in regulatory finance, accounting, haircuts, customer reserve workouts and financial statement preparation. We offer customized solutions based on your specific needs.

Our team is known for assessing your current regulatory accounting systems, automating and improving in-house efficiencies for long term success. We provide practical, business-oriented advice in this highly technical area. Our reputation as trusted partner is exemplified by our involvement in a wide range of the most complex and challenging matters of the day, where our clients rely on our technical approach.

Our areas of expertise include:

SEC Net Capital Rule (Rule 15c3-1) and U.S. Securities Haircuts

Calculating regulatory net capital, and preparing your periodic regulatory reports including FOCUS, SSOI, SIS, and Form Custody.

Preparation of daily and monthly Customer Reserve Computation (15c3-3) and Net Capital report (15c3-1), daily futures Seg report and monthly TIC – Form S, SLT, and annual SHCA and SHLA.

Developing, streamlining and automating various analytical processes, i.e. aged fails, suspense account analysis, stock loan/borrow analysis, margin variance analysis, allocation analysis, and G/L tie-outs.

Performing daily COD/COR reconciliation setting up and purging trade tags, SEG deficit analysis, aging analysis and extensions filing with FINRA.

Accounts payable/receivable, payroll, month end closing, G/L maintenance and financial statement preparation.

Complex financial products including fixed income, mortgage backed, options and futures.

RegComp strongly understands the close relationship between compliance and accounting at any broker dealer as well as other firms. We have worked with many broker dealers throughout our history, and have partnered with some of the leading Fortune 500 companies to assist on projects.

Let us centralize all of your accounting functions, manage the regulatory reporting for you and assist in ensuring capital compliance.

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