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Regulatory Capital Compliance Solutions

Risk based Haircut Methodolgy

Risk Based

The Appendix A application calculates capital charges (haircuts) on qualified stock baskets, stocks, options, futures, and options on futures using the OCC Profit & Loss Values File. NET CAPITAL REQUIREMENTS – SEA Rule 15c3-1

Debt Securities Haircut

Debt Securities

The Debt Securities application calculates capital charges (haircuts) for United States Government bonds, U.S. Agency bonds, Municipal bonds, Investment Grade Corporate bonds, High Yield Corporate bonds, and Preferred Stock. The application attempts to minimize charges by hedging debt securities according to SEA Rule 15c3-1(c)(2)(vi)(A)(3) and SEA Rule 15c3-1(c)(2)(vi)(F)(2).

Repurchase Agreement Deductions

Repo Deductions

The application calculates Deficits, Excesses, and Deductions (Deductions From Net Worth) for Repurchase Agreements and Reverse Repurchase Agreements. The application also calculates additional capital requirements for reverse repurchase agreements under SEA Rule 15c3-1(a)(9)(iii).

Customer Reserve Compliance Solutions


Customer Reserve Security Allocation

Customer Reserve Security Allocation

CRSA automates the security allocation process for large clearing firms which are required to maintain a Customer Reserve account, as defined in SEA Rule 15c3-3 (the Customer Protection Rule).

Portfolio Margin Calculation Solutions


Customer Portfolio Margin Methodolgy

Customer Portfolio Margin Methodolgy

The Portfolio Margin application calculates customer account margin requirements for stocks, options, and qualified stock baskets. CUSTOMER MARGIN REQUIREMENTS – FINRA Rule 4210.

APEX Regulatory Capital

NET Capital Calculations are a mission critical function. The Apex mission is to become the obvious technology solution for every FINOP, CFO, Regulator and Auditor within the industry.

Charles Greiner III

When the legendary Len Bole retired in 2013, his position was first offered to Charlie. Having worked with Len for eleven years, Charlie has a comprehensive understanding of SEA Rule 15c3-1 and Regulatory Capital Requirements.

In addition, Charlie was previously the Managing Partner of a High Frequency Trading firm where he successfully oversaw trading and risk, as well as a five person team developing high performance, high throughput trading applications.

Bachelor of Arts (B.A.), Economics – San Diego State University

Chris Kemper, Regulatory Specialist

Chris has been educating and assisting broker-dealers, regulators, and accounting firms in their understanding and audit of SEA Rule 15c3-1 and FINRA Rule 4210 regulatory requirements since 2007.

Graduate Certificate (G.C.), Business Management – Valparaiso University
Bachelor of Science (B.S.), Aviation Flight Technology & Aerospace Administration – Indiana State University

Rick Yaksich, Technology Director

Since 1995 Rick has been crafting software solutions and providing systems analysis in the regulatory reporting compliance arena, with nearly 14 years concentrated within SEA Rule 15c3-1. Rick also has extensive experience developing and testing SEA Rule 15c3-3 systems.

Contact us for a Consultation

Building a superior Regulatory Capital Compliance solution requires a complete and thorough understanding of the rules, from top to bottom, inside and out.

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