Use Cases

Exchange Act Rule 15c3-5 (Market Access Rule) requires broker-dealers with market access or that provide market access to their customers to “appropriately control the risks associated with market access so as not to jeopardize their own financial condition, that of other market participants, the integrity of trading on the securities markets, and the stability of the financial system.” One of the most difficult aspects in complying to this rule is ensuring capital and credit pre-trade financial controls for the firm. Here is how Sarna’s Buying Power Engine can help you comply with these requirements:

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