Deep knowledge. Unique expertise. Solutions that transform how clients manage their data and content.

What We Do

We solve complex data problems in the financial services industry with a unique, configurable platform for monitoring and managing critical business processes.

Record of Success

Our success spans a global client base with $22 trillion under management and a market cap over $900 billion for some of the most respected firms in the world.

Expertise that Matters

We provide a unique combination of software and expertise to help firms address data and oversight deficiencies.

Our Team

Learn more about our talented team who bring real-world innovation to some of the financial services industry’s biggest data challenges.

Careers

Join our team in innovating and applying deep industry knowledge of financial services operations, risk, and compliance-related challenges to solve the complex data challenges global firms both large and small.

Partner Program

Build your firm’s revenue by introducing our trusted history of success and best-in-class technology solutions to your clients.

Platform

The n-Tier platform offers a unique, configurable solution for monitoring and managing data completeness and accuracy across critical business processes.

Platform Overview

Begin with a zero-development infrastructure to rapidly engage award winning data management in aggregation, monitoring and reporting.

How We Deliver

n-Tier's platform is flexible enough to fit your business needs, making each solution unique

Designed for Enterprise

Make a positive impact at every level of the organization through enterprise scale designed to reduce cost and risk across your entire organization.

Solutions

Resolve your most complex data challenges with the best-in-class building blocks for data management.

Data Governance

Protect and oversee sensitive client data through state-of-the-art layered access approaches for heightened security and risk mitigation.

Regulatory Reporting

Aggregate regulatory reporting data from different sources while meeting reporting obligations for both validation and research.

Trade Surveilance

Give your data lineage challenges visibility and searchability for your most complex surveillance data paths.

Risk Management

Engage compliance practices from the biggest firms for your changing risk management challenges.

Financial Reporting

Easily organize, summarize, and present your data in presentation-ready formats.

Data Warehousing

Integrate data from any source to monitor completeness and accuracy of your warehoused data.

Probability and Cost Monitoring

Automate daily data reviews across single or multiple OMS platforms for cost and revenue trend insights.

Resources

Expand your outlook through our expert analysis and experience in real world applications of cost-effective solutions.

Whitepapers

Explore n-Tier’s depth of industry knowledge in financial services operations, risk, and compliance-related challenges.

Analyst Reports

Meet the growing challenges of data quality and reporting through the in-depth perspectives of our industry expert collaborations and engagements.

Webinars

Stay current and participate in deep dives of timely and relevant conversations through expert insights and analysis.

Articles

Stay informed with n-Tier's strategies for navigating increasingly complex data and regulatory environments.

Blog Posts

Get n-Tier’s latest information about complex data problems in finance, risk, and compliance and build informed decisions to explore growing data complexity from a perspective of real-world experience.

Events

Stay in touch and get personal by growing your knowledge, network, and community with the latest events on n-Tier's calendar.

News

Keep up to date with the latest news about n-Tier, a trusted global source for enterprise and data governance.

Solutions / Regulatory Reporting / Trade Reporting and Compliance Engine (TRACE) & Municipal Securities Rulemaking Board (MSRB)

Trade Reporting and Compliance Engine (TRACE) and Municipal Securities Rulemaking Board (MSRB)

n-Tier’s web-based user interface provides full visibility and searchability of TRACE and MSRB reports.

Use summary and detailed dashboards to navigate all errors in different categories, and drill down to individual errors for researching and resolving reporting issues.

n-Tier’s web-based user interface provides full visibility and searchability of TRACE and MSRB reports.

Use summary and detailed dashboards to navigate all errors in different categories, and drill down to individual errors for researching and resolving reporting issues.

Request More TRACE Info

Named Best Reporting Solution for CAT, 2021 & 2022

Where the Rubber Meets the Road

Taking an Automated Approach to the Next Chapter of CAT

CAT Implementation

As Dust Settles from CAT Implementation, Regulators Turn Up Heat on Data Quality – and Broker-Dealers Must Adapt

n-Tier’s TRACE and MSRB offerings include:

Daily Checking

Daily reconciliation of TRACE and MSRB reporting with front-office trade blotters and source data ensuring all reportable transactions were reported

Deep Validating

Baseline validations for various fields, including but not limited to contra party, modifiers, execution time, capacity, and identification securities not on FINRA’s eligibility lists

Historical TRACE Checks

Historical transaction repository in securities not on FINRA’s TRACE eligibility lists on trade date to alert if the security is subsequently added to FINRA’s TRACE eligibility lists

Date Matching Post-Trade

Post-trade date matching confirming TRACE and MSRB reports are submitted

Back-to-back Trade Flagging

Monitoring of back-to-back trades with affiliates by matching to customer/dealer trades and potential back-to-back trades missing the required affiliate special processing flag

VCON Reconciliation

VCON reconciliation control replicating common FINRA examination tests whereby they review the execution time captured in the VCON vs. the time of execution the firm reported in the TRACE report

Bring Clarity & Quality to Your Firm's TRACE & MSRB Reports

Eliminate regulatory and reputational risk through 100% verification of trade report submission data.

Securely produce automated workflows for report validation, generation, and distribution.
Navigate compliance complexity in a platform designed from real-world regulatory expertise.
Work in one configurable platform to match the changing regulatory landscape.
Manage the capture, storage, and integrity of large volumes of sensitive data in one platform.
Ensure reporting accuracy with data reconciliation, data quality, and data correction.
Gain cost-effective integration through on-site or cloud solutions configured to your firm’s requirements.

Contact our specialists to discuss applying deep industry expertise and innovative software solutions to your unique challenges.

Experience Our Solutions

Find out how to leverage a configurable solution for monitoring and managing data completeness and accuracy, across critical business processes.

Experience Our Solutions

Some text about what to expect for follow-up communications re: the demo

Record of Success

Our success spans a global client base with $22 trillion under management and a market cap over $900 billion for some of the most respected firms in the world.

Trade Reporting and Compliance Engine (TRACE) and Municipal Securities Rulemaking Board (MSRB)

Trade Reporting and Compliance Engine (TRACE) and Municipal Securities Rulemaking Board (MSRB)

Trade Reporting and Compliance Engine (TRACE) and Municipal Securities Rulemaking Board (MSRB)

n-Tier’s web-based user interface provides full visibility and searchability of TRACE and MSRB reports.

Use summary and detailed dashboards to navigate all errors in different categories, and drill down to individual errors for researching and resolving reporting issues.

n-Tier’s web-based user interface provides full visibility and searchability of TRACE and MSRB reports.

Use summary and detailed dashboards to navigate all errors in different categories, and drill down to individual errors for researching and resolving reporting issues.

Request More TRACE Info

Where the Rubber Meets the Road

CAT Implementation

n-Tier’s TRACE and MSRB offerings include:

Daily Checking

Deep Validating

Historical TRACE Checks

Date Matching Post-Trade

Back-to-back Trade Flagging

VCON Reconciliation

Bring Clarity & Quality to Your Firm's TRACE & MSRB Reports

Experience Our Solutions

Experience Our Solutions

Experience Our Solutions

Connect

Platform

Solutions

Company