InnReg is uniquely positioned to support innovative organizations in the technology-based trading space, from traditional securities to cryptocurrencies. Our client roster includes ATS, online BDs, and crypto exchanges. This well-rounded experience makes us highly adaptable to the complex requirements of companies that provide alternative access to market liquidity.
At InnReg we understand the distinct compliance challenges faced by ATS platforms. Deploying the digital trading technology and gaining approvals from multiple regulators is just the start. This system must approve and onboard client accounts, manage online funds transfers, seamlessly match buy and sell orders, and settle transactions. All with complete accuracy. And cybersecurity has never been more critical as the SEC steps up enforcement actions against ATS programs.
We support ATS programs in three key areas:
We can leverage your current platform. Or recommend the best technology stack to fulfill all your regulatory compliance and back office needs, both effectively and cost efficiently. The final recommendation typically integrates proven third-party solutions into your proprietary technology to achieve the optimal result. All of our systems and databases are cloud-based, so your team has easy access day or night from onsite or remote locations.
ATS registration and setup:
Electronic books and records management:
FINRA broker-dealer registration is a prerequisite for operating an ATS. Please see our broker-dealer services section for details about: