Superior 15c3-1 Regulatory Technology

Regulatory Capital Compliance Solutions

Customer Reserve Compliance Solutions

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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).

Customer Reserve Compliance Solutions

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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

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CUSTOMER PORTFOLIO MARGIN

Customer Portfolio Margin

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

Portfolio Margin Calculation Solutions

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CUSTOMER PORTFOLIO MARGIN METHODOLOGY

Customer Portfolio Margin

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).

CG3-1 Regulatory Capital

NET Capital Calculations are a mission critical function. The CG3-1 mission is to become the obvious technology solution for every FINOP, CFO, Regulator and Auditor within the industry.

Charles Greiner III, President

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

Charles Greiner III, President
Charles Greiner III, President
Chris Kemper, Regulatory Specialist

Chris Kemper, Quality Assurance Director

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.

Rick Yaksich, Technology Director
Rick Yaksich, Technology Director

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.