Glossary
Every term between trade and settlement.
The governance and maintenance of static data that financial systems depend on — instrument identifiers, counterparty LEIs, and settlement rules — to process transactions correctly.
The post-trade obligation to submit structured trade data — transactions, positions, and order lifecycle events — to regulators under MiFID II, EMIR, Dodd-Frank, and CAT to establish the supervisory record of each trade.
RIA trading platform post-trade is the adviser workflow that verifies model-driven trades after execution across client accounts, allocations, restrictions, custodian feeds, corrections, reconciliation, and audit evidence.
SEC rule requiring broker-dealers to hold customer securities in possession or control and fund the Special Reserve Bank Account through the reserve formula.
The SEC rule requiring registered broker-dealers to create and maintain current books and records for every securities transaction - including the blotter, general ledger, customer account ledgers, order tickets, and net capital computation.
Rule 17a-5 requires registered broker-dealers to file periodic FOCUS Reports and annual audited financial statements with their designated examining authority and the SEC.
RWA settlement operations is the institutional workflow for settling tokenized real-world asset transfers against an on-chain payment leg, with programmable compliance enforcement and continuous oracle-based valuation.