Tag : FINRA

Nuxeo Content Cloud Validated with Amazon S3 Object Lock for SEC Rule 17a-4(f)
Fintech News

Nuxeo Content Cloud Validated with Amazon S3 Object Lock for SEC Rule 17a-4(f)

Fintech News Desk
by Fintech News Desk0
Nuxeo Pushes Industry Forward with Content Services Platform Validated with Amazon S3 Object Lock Storage Nuxeo, a cloud-native Content Services Platform (CSP), announced that Nuxeo Content Cloud, the company’s Software-as-a-Service (SaaS) offering, has validated its compliance with the electronic records requirements of Securities Exchange Commission (SEC) Rule 17a-4(f) with Amazon Simple Storage......
Sterling Trading Tech Enhances Risk Calculations for Its Real-Time Risk & Margin Engine
Fintech News Risk Management Trading

Sterling Trading Tech Certified for CAT Production by FINRA

Fintech News Desk
by Fintech News Desk0
Sterling Trading Tech (STT), a leader in compliance, risk and infrastructure solutions for equity, options and futures trading, announced they have been certified by FINRA as an authorized CAT (Consolidated Audit Trail) Reporting Agent. Read More: smartTrade’s Solution Awarded Best Multi-Asset EMS System by Markets Media .@SterlingSTT Certified for CAT......
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The Impact of COVID-19 on Broker Dealers (And Where It Hurts)

Michael Higgins
by Michael Higgins1
It has been a long and grueling 3 months since the first COVID-19 case reared its head in the United States. When the first deaths were reported, no one could have predicted the global impact it would have. Quarantine efforts in China were minimized but once the disease began to......
Rialto Markets Receives Approval For ATS To Trade Digital Securities
Fintech News Trading

Rialto Markets Receives Approval For ATS To Trade Digital Securities

Fintech News Desk
by Fintech News Desk0
Rialto Markets LLC announced that its request to engage in private placements and to operate an alternative trading system (ATS) for digital securities has been granted by FINRA. Read More: Analyticom Introduces a Scientific Model That Keeps Investments Stable During Market Volatility Rialto has leveraged the technology it had developed for......
North Capital Authorized to Trade Digital Asset Securities Through its PPEX Alternative Trading System
Capital Markets Fintech News

North Capital Authorized to Trade Digital Asset Securities Through its PPEX Alternative Trading System

Fintech News Desk
by Fintech News Desk0
NCPS completes a FINRA continuing membership application process to qualify PPEX ATS. North Capital, a market-leading provider of technology and brokerage services for exempt securities offerings, announced that it has completed the membership approval process with FINRA and achieved acceptance of Form ATS Initial Operations Report by the U.S. Securities and......
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