Regulatory Allocation Application Fulfills NYSE Requirements

The New York Stock Exchange (NYSE) has begun the implementation of their new Automated Exam Program. This new directive requires members to supply the NYSE with certain data in XML format that will aid the NYSE in their reviews. Much of the required data is focused around a firm’s allocation of its stock record for the preparation of the 15c3-3 Reserve Requirement.

The Regulatory Allocation application is well positioned to supply required data. SunGard is offering new processing in conjunction with Regulatory Allocation to existing and new customers. Please contact Dan Belluche at 603-898-6185 ext. 404 to discuss this new feature.