Cex
Regulatory Reporting
Automated regulatory report generation
Report Types
| Report | Framework | Frequency |
|---|---|---|
| OATS | FINRA | Real-time |
| ATS-N | SEC | Quarterly |
| CAT | SEC/FINRA | Real-time |
| Transaction Reports | MiFID II | T+1 |
| Best Execution | FINRA 5310 | Monthly |
| Suspicious Activity | FinCEN SAR | As needed |
Data Retention
All trade data, order history, and compliance logs retained for 7 years per regulatory requirements.