NRS ComplianceGuardianNational Regulatory Services
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Related Products
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About
Guardian Trading is a Division of Velocity Clearing, LLC. Velocity Clearing, LLC provides clearing, margin finance and locates to its clients directly. How does that differentiate from our competition? Our competition has: third party relationships to clear trades, third party relationships to act as custodian and third-party relationships to locate securities. Simply put, Guardian Trading is better positioned to deliver quality service to our clients. Since its inception Velocity has been a leading provider of locate services to the active trading community. Certain regulators impose transaction fees to cover their costs of regulating the brokerage industry. The fees are passed through to customers as part of normal transaction processing. Velocity Clearing LLC, is the parent company of “Guardian Trading” and is a self-clearing FINRA Member Firm with clearing house memberships at DTC and NSCC.
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About
If you’re regulated by the SEC and or FINRA, compliance keeps your doors open while the burden of being in compliance drags at the bottom line. ComplianceGuardian™ combines best-in-class compliance software, latest expert content, education and consulting to efficiently keep your firm in compliance today and as regulations change. The robust ComplianceGuardian™ software platform was developed under the guidance of, and is continually maintained by, our deeply experienced compliance professionals. With direct experience in the private sector and regulatory bodies they bridge the divide between your business needs and regulatory requirements and help firms like yours remain in compliance while minimizing undue burden on business processes. These same experts are available to support you, so you never have to work completely on your own, unnless you want to. Firms of all sizes choose ComplianceGuardian™ to cover their compliance fundamentals.
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Platforms Supported
Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook
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Platforms Supported
Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook
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Audience
Traders and any user in search of a blockchain solution to manage all their digital assets
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Audience
Investment advisers and broker-dealers in need of a solution to ensure compliance while keeping up with regulations
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Support
Phone Support
24/7 Live Support
Online
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Support
Phone Support
24/7 Live Support
Online
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API
Offers API
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API
Offers API
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Screenshots and Videos |
Screenshots and Videos |
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Pricing
No information available.
Free Version
Free Trial
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Pricing
No information available.
Free Version
Free Trial
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Reviews/
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Reviews/
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Training
Documentation
Webinars
Live Online
In Person
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Training
Documentation
Webinars
Live Online
In Person
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Company InformationGuardian Trading
United States
www.guardiantrading.com
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Company InformationNational Regulatory Services
Founded: 1984
United States
nrs-inc.com
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Categories |
Categories |
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Compliance Features
Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
Incident Management
ISO Compliance
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation
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Integrations
Firco Trust
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