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TRADE REPORTING

Sterling provides standard and custom client reporting solutions to seamlessly integrate into existing back office processes

Sterling Trading Tech offers a full suite of client reporting solutions to seamlessly integrate into client back office processes. Reporting solutions are available on an a la carte basis and include:

Start-of-Day Files

STT has the ability load the following Start-of-Day files for all client accounts via automated upload.

SOD Position Uploads:
STT can load start of day positions for each client account from the clearing firm of record.

SOD Buying Power/Margin Uploads:
STT can load start of day account buying power or margin for each client account from the clearing firm of record.

Easy to Borrow (ETB) lists:STT can load ETB lists to determine which securities are easy to borrow for shorting in client accounts.

Locate lists: STT can load lists of securities that have been pre-located by the client for their accounts.

End-of-Day Trade Files

STT has the ability to generate the following End-of-Day files for all client accounts via ftp or file transfer.

Daily Trade Report:
STT can generate a nightly trade blotter that includes all executed trades and associated trade details.

Daily LifeCycle Reports: STT can gerenate Daily Lifecycle Reports that provides timestamped details of all order activity, including when orders are sent, confirmed, executed, cancelled and rejected.

End of Day Position Reporting:
STT can generate a position report to show all ending positions in each client account including account, ending position quantity and position price.

Clearing Firm Files:STT can generate end of day Clearing files based on the specifications of each individual Clearing Firm.

Compliance Reporting

STT has the ability to generate the following compliance files for client regulatory reporting to FINRA and the SEC.

CAT Reporting (Consolidated Audit Trail):
STT is fully certified for Consolidated Audit Trail (CAT) reporting and can generate CAT reports and submit on behalf of clients.

OATS Reporting:
STT is fully certified for the FINRA Order Audit Trail System (OATS) and can generate OATS reports and submit on behalf of clients. (FINRA is planned to phase out OATS reporting once fully replaced by CAT reporting.)

SEC 606 Reporting:
STT supplies 606 data in standard IHS Markit format only. STT is not a 606 vendor. Custom data enhancements are available up on request.

Custom reporting solutions can be developed upon client request and an agreed upon Scope of Work.

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