EQube's Fixed Income platform is a web-based compliance system which provides a centralized and efficient means to preserve, share, review, document and manage all the various aspects of handling Fixed Income securities. The system provides a means to demonstrate compliance and due diligence obligations, in accordance with FINRA, MSRB, and SEC regulatory requirements.

    • Beta
    • Bloomberg
    • FINRA

    • Bond Desk
    • TradeWeb
    • MSRB


    Ability to integrate new systems
    • Beta
    • Bloomberg
    • FINRA
    • Bond Desk
    • TradeWeb
    • MSRB
    Ability to integrate new systems


  • Trade Level Review (TLR) allows users to review individual or multiple records easily, add notes, flag records, and the ability to use various data filtering and export options.

  • EQube's Fixed Income BestEx supervision provides the ability to review BestEx documentation and exception summary reports using a workflow-based process. It also provides easy integration with pricing data systems such as FINRA-TRACE, MSRB, or Bloomberg. The feature ensures compliance with FINRA Rule 5310 and MSRB Rule G-18 requirements are met.

  • Exception processing with FINRA patterns Automation of exception tracking as per Firm’s policy
    • By product
    • By desk

  • Integration with pricing data systems such as FINRA-TRACE, MSRB, Bloomberg
  • Ability to escalate exceptions to corresponding traders or desk heads and make trade adjustments as per Firm’s policy.

  • EQube's Risk Management provides various risk metrics. It features positions and P&L report, Trade Volumes Report & Mark to Market reports, risk limits & aged inventory tracking. In addition, compliance and management can review counter-party risk daily reports of unsettled positions with date range criteria options.

To inquire about the items listed above, additional features and modules please speak with a sales representative.