Streamline 605 & 606 Challenges for Your Firm & Your Clients

n-Tier’s web-based user interface provides full visibility and searchability of 605 and 606 reports.

Our advanced technology automates the collection and consolidation of order routing data from various sources and gives firms the ability to generate public 606a1 reports and client 606b1/606b3 reports in real time.

 

Navigate Rule 605 & 606

Navigate the complexity of 605 and 606 reporting with a best-in-class experience of data collection and management. Alleviate risk through processes that streamline time and save money. 

 
- Quickly and securely produce automated workflows for report validation, generation, and distribution.
 
- Rectify reporting accuracy challenges with data reconciliation, data quality, and data correction.
 
- Manage the capture, storage, and integrity of large volumes of sensitive data in one platform.
 
- Navigate compliance complexity in a platform designed from real-world regulatory expertise.
 
- Gain cost-effective integration through on-site or cloud solutions configured to your firm’s requirements.

n-Tier’s Rule 605 and 606 offering includes:

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Rule Change Scalability

Flexibility should rule changes occur, such as adding new covered categories of orders (i.e odd-lots) or new security classes (i.e. OTC).

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Independent Verification

Ability to verify Rule 606 outputs versus other regulatory reports like CAT or source data to provide an independent verification.

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Historical Reporting Generation

Historical report generation for 605 and 606 reports

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On-Demand Reporting

Generation of look through reports and ad-hoc reports on-demand

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Experience Our Solutions

Find out how to leverage a configurable solution for monitoring and managing data completeness and accuracy, across critical business processes.

 

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