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Preparing your trading dashboard...
Preparing your trading dashboard...
Automated regulatory compliance monitoring with real-time alerts, automated reporting, and comprehensive audit trails for institutional trading.
Automated monitoring for SEC, FINRA, and other regulatory requirements with real-time violation detection.
Pattern day trader rules, wash sale detection, and other trading restriction monitoring.
Comprehensive, immutable audit logs of all trading activities and decision-making processes.
Automated generation and filing of required regulatory reports including Form 13F and others.
Know Your Customer and Anti-Money Laundering checks integrated with Onfido and other providers.
AI-powered detection of suspicious trading patterns that could indicate insider trading or market manipulation.
Securities and Exchange Commission rules including Regulation Best Interest (Reg BI) and fiduciary duties.
Financial Industry Regulatory Authority requirements for broker-dealers and trading firms.
PDT rule monitoring ensuring accounts maintain $25,000 minimum equity when making 4+ day trades in 5 days.
IRS wash sale rule detection and reporting for tax compliance and accurate cost basis calculation.
Detection of pump-and-dump schemes, spoofing, layering, and other manipulative trading practices.
Monitoring of exchange-imposed position limits for futures, options, and other derivatives.
Meet the same regulatory standards as major investment banks and hedge funds without the overhead of a full compliance department.
Automate 90% of compliance workflows, reducing the need for dedicated compliance staff and expensive consulting fees.
Prevent violations before they happen with pre-trade compliance checks and automated trade blocking.
Join the waitlist for Compliance Monitor AI Agent and ensure your trading operations meet all regulatory requirements.