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User: Market Oversight

Functionality: ISS collects futures and options end-of-day position data for large traders from reporting firms and open interest, volume, price, and clearing member data from exchanges. This data is used to monitor futures and options trading in order to detect any market anomalies that may occur.

User: Clearing and Intermediary Oversight

Functionality: RSR Express is used to review monthly and annual 1-FR-FCM and Financial and Operational Combined Uniform Single (FOCUS) reports of futures commission merchants for reporting their net capital position and other financial information. RSR Express is also used to monitor the financial status of firms and the changes to that status over time.

Users: Clearing and Intermediary Oversight and Market Oversight

Functionality: SPARK is a tool to look at all of an owner’s holdings and project the effect of market moves on these holdings. By performing “what if” scenarios, staff can determine if the margin is sufficient.

Users: Clearing and Intermediary Oversight and Market Oversight

Functionality: FILAC manages data associated with the approval of organizations, products, rules, foreign filings, and actions.

Users: Market Oversight, Enforcement, Chief Economist

Functionality: TSS enables staff to conduct surveillance in the rapidly expanding area of electronic trading, both intra and inter-exchange and across side-by-side platforms. Details of all transactions are collected from exchanges and made available to the applications used for reporting, analysis, and profiling.

Users: Enforcement, General Counsel, and Proceedings

Functionality: The eLaw Program is an automated law office that seamlessly integrates technology and work processes to support staff in their investigative, trial, and appellate work. It allows staff to track and monitor all activities related to investigations, discoveries, and litigation plans.

 

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