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WebQuery is being employed in the securities clearing industry to satisfy the stringent reporting demands of the regulatory agencies and organizations, enabling these firms to focus on their core business concerns. In addition, WebQuery is used as the primary report distribution tool in a number of firms, enabling the management of all reporting distribution to be accomplished with a single mechanism.

Due to the use of an intuitive, easy to use interface, WebQuery can be quickly rolled out to the user community with a minimum amount of training.

In addition to generating and distributing regulatory reports, our clients are utilizing WebQuery's robust report distribution features to distribute their own customer reports, such as haircuts, plot detail and summary reports, as well as numerous other reports.

Regulatory Reporting:

Web Query is capable of producing the following reports, as required by regulatory agencies including the NYSE, NASDR, AMEX and CBOE:

  • Large Options Position Report (LOPR)
  • Market Maker Stock Position Report
  • Market Maker Stock Execution Report
  • AMEX Specialist Surveillance System Report
  • Blue Sheets
  • DJX, OEX, SPX Index Option Hedge Report
  • Short Interest Report
  • Daily Program Trading Report
  • Positions Hedging Stock Option Report

Electronic Records Retention:

WebQuery utilizes optical disk technology to satisfy the SEC and NASD’s requirements that electronic records be preserved on non-rewriteable, non-erasable media.  Full data validation and integrity checking is included in the WebQuery system to ensure the quality and accuracy of the archiving process.  In addition, WebQuery provides  complete auditing and search capabilities, allowing our clients to quickly produce full audit reports and review their inbound and outbound email content.

Web Query Benefits:

  • Reports are automatically generated and submitted by WebQuery according to schedules provided by the regulatory agencies.
  • Reports are created in the proper electronic format for submission to SROs, including SIAC, CBOE, NASDR and other organizations.
  • WebQuery can accept datafeeds from any number of customer systems.
  • WebQuery archives submitted reports in a data warehouse, allowing prior reports to be resubmitted or reviewed as necessary.
  • WebQuery provides significant cost savings as compared to in-house development of a regulatory reporting solution.
  • WebQuery allows a user to generated ad-hoc reports in addition to the 'canned' regulatory reports listed above.

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