Uncomplicate Your Quarterly Broker Statement Process.

Reduce paper, save time and simplify the validation process for quarterly broker statements with Loffa’s innovative tool. The volume involved in generating these statements, along with identifying industry contacts, can make this process tedious—but not with Quarterly Broker Statement™. Let our solution help you more efficiently manage documentation communication in alignment with SEC regulations.

 

Simplify Manual Tasks

Seamlessly address the current manually-intensive

verification and financial reporting of Open Trade Fails.

Digitally Verify Information

Both DTCC and non-DTCC participants can electronically

verify and confirm all open fails, borrows, loans, and repos.

 

 
Easily Manage QBS Letters

Electronically send, receive, and store (SEC 17A-4) QBS letters.

 

Simplify Search

Immediately search and retrieve accepted, unknown or declined transactions.

 

Make Responding Easy

Provides a universal portal option for responding parties to reply electronically.

 

Save Time, Money And Paper

Reduces costs and increases operational efficiency and helps you go green.

Compliance and Regulatory Requirements

SEC Rule 17a-13 requires quarterly security counts to be made by certain exchange members, brokers and dealers. This process is handled through the distribution of Quarterly Broker Statement requests to Contra firms.

Quarterly Broker Statement™ effortlessly and securely addresses this process.

© 2020 by Loffa Interactive Group

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