EXECUTIONREPORTS.COM AMENDED SEC RULE 605 / FINRA 5310.09 ENGINE

Multi-CRD Consultant Portal

Partner License

Command center for fractional CCOs, outsourced compliance principals, and advisory firms managing FINRA Rule 5310.09 regular and rigorous reviews across multiple broker-dealer clients.

Covers the competing-markets comparison in FINRA Rule 5310.09 from public 605/606 data. Your own order-level review and committee supervisory determinations are still required.
Annual Partner License
$14,900/yr

Built for compliance consulting practices managing 5 to 50 broker-dealers. Includes unlimited quarterly dossiers, multi-client workspace reviews, batch justification tools, and white-label branding.

Charter Partner License: $9,900/yr covering up to 10 client CRDs (under $1,000 per broker-dealer).
Start Partner License
Direct corporate onboarding • Fast turnaround

Consultant Workflow Architecture

  • Multi-Client Workspace Access: Jump directly into any client's 144-bucket 605/606 matrix without managing separate logins.
  • Batch Clearing Justifications: Draft a single Rule 5310.09(c) omnibus clearing justification (Apex, Pershing, NFS) and stage it across all corresponding client files.
  • White-Label Dossier Branding: Co-brand quarterly committee minutes with your advisory firm name, disclaimer, and governance footer.
  • Browser-Local Client Portfolio: Add your client roster below. Client rosters and disposition tallies stay private in this browser session.

Client Portfolio

Track quarterly review status across your client broker-dealers. Saved in this browser only.

Client Firm CRD Review Progress Actions Remove

Batch Apply Clearing Justification Tool

Rule 5310.09(c) Template

When several introducing broker clients clear through the same omnibus custodian (e.g., Apex Clearing, Pershing, National Financial Services), review the clearing venue once and prepare a standardized supervisory justification.

Must reference empirical factors (connectivity constraints, tail latency, or clearing terms) per FINRA Regulatory Notice 15-46.
Add clients to your portfolio above to select targets.
Active Staged Template
(No template staged yet. Select a disposition and save above.)
How it works: Staging saves your standard text to er:consultant:batch. Each individual workspace at /workspace/[crd] provides quick-apply buttons to populate exceptions with your consultant template.

White-Label Dossier Branding Settings

Customize the cover-page attribution and supervisory disclaimers rendered on exported Best Execution Committee Minutes PDFs.

Live Export PDF Cover-Page Attribution Preview
[Compliance Advisory Firm Name]
FINRA Rule 5310.09 Quarterly Best-Execution Governance Dossier
Prepared for client broker-dealer Best Execution Committee regular and rigorous review. Covers the competing-markets comparison in FINRA Rule 5310.09 from public 605/606 data.