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Solutions

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Comprehensive Compliance Solutions for Broker-Dealers

Resolve CAT and CAIS issues, monitor best execution, conduct surveillance, process corporate actions, and maintain data integrity, all while scaling efficiently.

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Trade Reporting Excellence

CAT & CAIS Reporting & Supervision: Managing FINRA CAT reporting requirements demands precision at scale. New Range automatically aggregates order and trade data from your systems, validates every field, links parent and child orders correctly, and submits reports on time.

Corporate Actions Management

Corporate actions create significant compliance risk when handled incorrectly. New Range automates the entire process from announcement through final allocation. Track dividends, stock splits, mergers, spin-offs, rights offerings, and all other corporate actions events. Automatically calculate customer entitlements. Process elections efficiently.Reconcile expected versus actual payments. Alert when discrepancies occur.

Data Reconciliation Engine

Compliance depends on accurate, consistent data across all systems. New Range's reconciliation engine continuously compares data between your order management system, execution platforms, clearing firm, and customer databases. Identify discrepancies in trades, positions, cash, customer information, and more. Automated matching handles billions of records daily. Exception workflows route breaks to appropriate staff. Track resolution status and maintain documentation.

Best Execution Analysis

Proving best execution to regulators requires sophisticated analysis. New Range continuously monitors execution quality across all venues, comparing your fills against market benchmarks. Track price improvement, execution speed, fill rates, and routing effectiveness for every order type and size. Identify which venues consistently deliver the best results. Generate SEC Rule 606 reports automatically. Document best execution reviews with audit-ready analysis that stands up to FINRA examinations.

Real-Time Trade Surveillance

Monitor all trading activity for potential violations. New Range's surveillance engine continuously analyzes trades for wash sales, layering, spoofing, marking the close, front-running, insider trading patterns, and more. Configurable alert rules adapt to your firm's specific business model and risk profile. Document investigations, maintain case files, and generate surveillance reports that demonstrate robust monitoring.

Fintech Compliance Solutions

Scale your compliance program across all regulatory requirements as fast as you scale your business.

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Data Reconciliation for Rapid Growth

Fintech growth can be explosive. You scale from thousands to millions of users seemingly overnight. Data quality issues that were manageable at small scale become critical problems at large scale. New Range's reconciliation engine scales with you. Reconcile millions of accounts, billions of transactions, and petabytes of data without performance degradation. Catch data quality issues before they impact customer experience or regulatory compliance.

Key Benefits

Scale reconciliation with growth
Maintain data accuracy
Catch issues proactively
Enable confident scaling

Corporate Actions at Scale

When you serve millions of users holding fractional shares across thousands of securities, corporate action processing complexity explodes. A single stock split affects millions of accounts. A dividend payment requires millions of individual calculations. New Range automates high-volume corporate action processing. Calculate entitlements efficiently regardless of scale. Process fractional share corporate actions correctly. Reconcile millions of allocations automatically. Handle the volume that comes with fintech growth.

Key Benefits

Process corporate action events efficiently
Maintain accuracy at scale
Enhance customer experience
Reduce operational costs
Eliminate missed corporate actions

Clearing Firm Compliance Solutions

Manage complexity with confidence across all correspondent relationships.

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Multi-Correspondent Management

Manage compliance for hundreds of correspondent firms from a single, modern, and beautifully intuitive platform. New Range's multi-tenant architecture provides the isolation correspondents require while giving you unified visibility across your entire correspondent base. See aggregate compliance metrics across all domains: CAT submission rates, best execution quality, surveillance alert volumes, corporate action processing status, reconciliation break counts. Drill down to individual correspondent performance. Identify correspondents needing additional support before small issues become regulatory problems.

White-Label Compliance Technology

Offer correspondents New Range's platform under your brand. Provide comprehensive compliance technology as a value-added service that differentiates your clearing offering. Correspondents access their dedicated instance with your branding, using compliance tools across trade reporting, best execution, surveillance, corporate actions, and reconciliation that reinforce their relationship with your firm. You maintain central administration, analytics, and support while correspondents enjoy seamless, branded experiences.

Comprehensive Correspondent Support

New Range's self-service tools enable correspondents to resolve common issues independently across all compliance domains: checking CAT submission status, reviewing best execution analysis, investigating surveillance alerts, verifying corporate action processing, resolving reconciliation breaks. For issues requiring your attention, intelligent triage routes requests appropriately. Track resolution status, maintain communication histories, and measure support performance metrics.

Data Quality Management

New Range validates correspondent data across all compliance domains before it leaves your systems. Catch CAT formatting errors, best execution data gaps, surveillance monitoring issues, corporate action discrepancies, and reconciliation breaks. When issues are detected, automated workflows alert correspondent contacts and provide clear remediation guidance. Track resolution progress, escalate overdue items, and maintain documentation of correction efforts.

Regulatory Examination Support

When FINRA examines your compliance oversight or correspondent management program, New Range provides comprehensive documentation across all domains: CAT submission histories, best execution reviews, surveillance alerts and investigations, corporate action processing, reconciliation status, correspondent communications, training materials, quality control procedures, and resolution tracking. Generate examination-ready reports in minutes. Demonstrate robust oversight of correspondent compliance across all regulatory requirements. Show regulators the systematic controls you maintain.

One Platform, Powerful Solutions

While each industry faces unique challenges, all benefit from New Range's core capabilities across five integrated modules:

Platform Screenshot

Trade Reporting (CAT/CAIS): Automated submission and reconciliation

Best Execution: Comprehensive analysis and documentation

Trade Surveillance: Real-time monitoring and investigation

Corporate Actions: Complete event tracking and processing

Data Reconciliation: Cross-system validation

We tailor features, workflows, and interfaces to match your specific needs. We provide a comprehensive compliance platform your firm requires across all critical regulatory domains.

Ready to Transform Your Firm?

Schedule a demo to see how New Range solves your specific compliance challenges across trade reporting, best execution, surveillance, corporate actions, and data reconciliation. We'll show you the platform configured for your industry, answer your questions, and discuss how we can help your firm stay ahead of all regulatory requirements.

Schedule a demo