Utilize your firmʼs securities position and transaction data feeds to aggregate short positions across all controlled accounts or entities to calculate the accurate settlement date “gross short position at the close of regular trading hours” as required by rule 13f-2.
Monitor aggregated short positions against the 13f-2 daily/monthly reportable thresholds: $10MM/$500K value or 2.5% of outstanding shares based on the issuer’s classification as a SEC-reporting/non-reporting company.
Integrate with our FINRA Short Interest Reporting module and extend long positions monitoring as per other regulatory thresholds such as 13f-1, 13d, 13g, Section 16, and Bank Holding Company Rules.
Run onsite or as a fully hosted, highly secure cloud-based solution. Designed for configurability, flexibility, and ease-of-use, it integrates with complex trade processing environments with no development effort.
Coupled with our deep industry knowledge built up over decades of regulatory reporting across various compliance landscapes, n-Tier is best positioned to help ensure your reporting is complete and accurate.
Contact our specialists to discuss applying deep industry expertise and innovative software solutions to your unique challenges.
Named Best Reporting Solution for CAT, 2021 & 2022
As Dust Settles from CAT Implementation, Regulators Turn Up Heat on Data Quality – and Broker-Dealers Must Adapt
Find out how to leverage a configurable solution for monitoring and managing data completeness and accuracy, across critical business processes.
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