RegReconTake Charge of Compliance with RegRecon
Reg Recon is a real-time, web based surveillance alert and report tool that assists firms with compliance. Reg Recon has two main components:
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Features and Functionality
- Ability to view and file for multiple MPIDs
- Email alerts for potentially erroneous executions and filing status changes
- Real-time warning of potential trade-through trades.
- Time and Sales details showing which protected quotes were traded through.
- Ability to download and print five days of historical data.
- Record of NASDAQ Self Help declarations and revocations.
Clearly Erroneous Module:
- Erroneous trade alerts for potentially erroneous trades on The NASDAQ Stock Market.
- Ability to view and file for multiple MPIDs.
- Electronic clearly erroneous filing directly with NASDAQ MarketWatch.
- Email notifications for both potentially erroneous trades and filing status.
- Anonymous negotiation of erroneous trades with the contra party and the opportunity to accept the final adjustment or proceed with MarketWatch ruling.
- Real-time filing status updates during the entire filing process.
- CE Viewer displaying all trades under review street-wide by MarketWatch in real-time.
- Ability to download and print 90 days of historical data.