Services · Equities / Options
Equities / Options
Equity and options trading generates reporting obligations across multiple overlapping venues — the Consolidated Audit Trail, FINRA's trade reporting facilities, and short interest/short sale disclosure regimes. Concyrge reviews order and execution data against CAT and FINRA reporting requirements, verifies TRF/ADF/ORF trade reports for completeness and accuracy, and confirms short interest and short sale disclosures are properly calculated and timely filed.
Regulations & Forms We Cover
CAT
Consolidated Audit Trail
FINRA TRF / ADF
Trade Reporting Facility / Alternative Display Facility
FINRA ORF
OTC Reporting Facility
FINRA Rule 4560
Short Interest Reporting
SEC Rule 13f-2 / Form SHO
Short Sale Disclosure
Facing a reporting gap, an upcoming exam, or an enforcement remediation deadline?
Concyrge offers flexible, one-month engagements to get you accurate, audit-ready answers — fast.