Electronically facilitate trade reporting and clearing functions for trades reported to the FINRA Trade Reporting Facility (TRF):

Ease of use, enhancements and streamlined functionalities:

• Consolidated coverage for your firm and across FINRA/NasdaqTRFs (Carteret/Chicago)
• View multiple pieces of functionality on one screen
• Holistic scan enabling users to search across date ranges and multiple MPIDs
• Streamlined upload tool to allow users to leverage templates, visualize progress/status, and fix errors

Real time trade reporting and clearing data access (from today to one year history) with trade workflow to simplify operations:

Scan on any or all trade report fields:

• New scan fields: date range, a string of control numbers, port/ user and correspondent
• Search “My MPID” on any trade record as Executing / Contra Broker, Give Up or Clearing Firm, without specifying how it’s included on the trade report

Multi-select scan criteria: trade status, My MPID and TRF:

• Ability to create and save multiple column layouts for frequently used reporting
• Left panel will change modes when selecting Reverse, Modify and Copy for easy edits.

Unlimited Accept, Decline, Break, and Cancel actions:

• Action Result column will show if the action has been processed successfully

New action hot buttons to simplify workflow:

• Reverse
• Modify
• Copy

Regulatory Compliance support for clearing firm and broker trade surveillance for today and historical records up to five years

• Nasdaq’s Real Time Stats service provides high level OTC Equity compliance monitoring for late trade reporting rules, trade accuracy, trade status as well as other high level statistics                                                                                                                                       
• Actionable operations and compliance intelligence with trade reporting interactive graphs and table results to easily take action
• Side panel snapshot to keep a pulse on trade reporting statistics while using other WorkX™ services
• WorkX provides five years of trade reporting history to satisfy regulatory reporting and compliance reviews