Reg Recon
             
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Take Charge of Compliance

Reg Recon is a real-time, web based surveillance alert and report tool that assists firms with compliance. Reg Recon has two main components:

  • Reg NMS Module– Real-time warning of potential trade-through trades.
  • Clearly Erroneous Module – Real time alerts of potential clearly erroneous trades, online erroneous trade filings to NASDAQ MarketWatch and negotiations with the contra party.

 

Features



Reg NMS Module:

  • Real-time warning of potential trade-through trades.
  • Time and Sales details showing which protected quotes were traded through.
  • 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 Exchange.
  • Electronic Clearly Erroneous Filing directly with NASDAQ MarketWatch.
  • Anonymously Negotiate Erroneous Trades with the contra party and accept the final adjustment or proceed with MarketWatch ruling.
  • Real-time Filing Status Updates during the entire filing process.
  • Real-Time Street-Wide CE Viewer displays all trades under review by MarketWatch.
  • Download and print 90 days of historical data.

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