NEW YORK, NY
4 risk indicators measuring financial stability and operational resilience
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Sign In — Free (10 views/day)EFFECTIVE OCTOBER 1, 2012, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ADOPTED RULE 613 UNDER THE SECURITIES EXCHANGE ACT OF 1934 ("RULE 613") TO CREATE A CONSOLIDATED AUDIT TRAIL (THE "CAT SYSTEM") THAT WOULD ALLOW REGULATORS TO EFFICIENTLY AND ACCURATELY TRACK ALL ACTIVITY THROUGHOUT THE U.S. MARKETS IN NATIONAL MARKET SYSTEM ("NMS") SECURITIES. AMONG OTHER THINGS, THE RULE REQUIRED THE NATIONAL SECURITIES EXCHANGES AND THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA"), COLLECTIVELY THE SELF-REGULATORY ORGANIZATIONS, ("SROS OR "MEMBERS") TO JOINTLY SUBMIT A PLAN, CALLED AN NMS PLAN, TO CREATE, IMPLEMENT AND MAINTAIN A CONSOLIDATED AUDIT TRAIL OF THE NMS ACTIVITY. RULE 613 SPECIFIES THE TYPE OF DATA TO BE COLLECTED AND WHEN THE DATA IS TO BE REPORTED TO A CENTRAL REPOSITORY. THE ORGANIZATION'S PRINCIPAL PURPOSE IS TO CREATE, IMPLEMENT AND MAINTAIN A CONSOLIDATED AUDIT TRAIL PURSUANT TO RULE 613.
DEVELOPMENT OF SOFTWARE. AS OF 07/31/2023, COMPLETION OF DATA PIPELINE AND DATA STORE FIXES ("LOAD ALL DATA") DEPLOYED TO PRODUCTION
DEVELOPMENT OF SOFTWARE. AS OF 12/04/2023, COMPLETION OF REGULATOR PORTAL FUNCTIONAL DEFECTS REMEDIATED.
DEVELOPMENT OF SOFTWARE. AS OF 12/11/2023, COMPLETION OF HISTORICAL DATA LOAD AND DATA FIXES IN INDUSTRY TEST ENVIRONMENT ("MAKE DATA WHOLE")
Financial Health Score (300–850) · Liquidity · Solvency · Sustainability · Efficiency
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Liquidity (40%) • Solvency (30%) • Sustainability (20%) • Efficiency (10%)
Sign In — Free (10 views/day)| 2023 | 2022 | Change | |
|---|---|---|---|
| Revenue | N/A | N/A | N/A |
| Expenses | $195,364,465 | $186,376,256 | +0.0% |
| Net Income | N/A | $-186,376,256 | N/A |
Comprehensive financial analysis: Altman Z-Score, liquidity, solvency, sustainability, efficiency, and growth metrics
Financial Distress Indicator
Liquidity & Cash Position
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Altman Z-Score • Liquidity Ratios • Solvency Analysis • Growth Indicators • Efficiency Metrics
Sign In| Name | Title | Hours/Week | Role | Reportable Comp | Other Comp | Total |
|---|---|---|---|---|---|---|
| ELIZABETH KING | OPERATING COMMITTEE MEMBER | 3.00 |
Director
|
$0 | $0 | $0 |
| EDWARD DEITZEL | OPERATING COMMITTEE MEMBER | 3.00 |
Director
|
$0 | $0 | $0 |
| BRUCE GOODHUE | OPERATING COMMITTEE MEMBER | 3.00 |
Director
|
$0 | $0 | $0 |
| JEFF CONNELL | OPERATING COMMITTEE MEMBER | 3.00 |
Director
|
$0 | $0 | $0 |
| JON KROEPER | OPERATING COMMITTEE MEMBER | 3.00 |
Director
|
$0 | $0 | $0 |
| JOHN RAMSAY | OPERATING COMMITTEE MEMBER | 3.00 |
Director
|
$0 | $0 | $0 |
| CINDY RETTERER | OPERATING COMMITTEE MEMBER | 3.00 |
Director
|
$0 | $0 | $0 |
| ZORAN PERKOV | OPERATING COMMITTEE MEMBER | 3.00 |
Director
|
$0 | $0 | $0 |
| ANDERS FRANZON | OPERATING COMMITTEE MEMBER | 3.00 |
Director
|
$0 | $0 | $0 |
| MICHAEL SIMON EFF 21423 | CHAIR EMERITUS | 4.00 |
Officer
|
$82,622 | $0 | $82,622 |
| DAVID YACONO | CHIEF INFORMATION SECURITY | 40.00 |
Officer
|
$449,948 | $105,301 | $555,249 |
| A DUER MEEHAN | CHIEF COMPLIANCE OFFICER | 40.00 |
Officer
|
$756,953 | $81,102 | $838,055 |
| BRANDON BECKER EFF 21423 | CHAIR, OPERATING COMMITTEE | 8.50 |
Officer
|
$139,370 | $0 | $139,370 |
| Year | Revenue | Expenses | Assets | Net Income |
|---|---|---|---|---|
| 2024 | No data | No data | No data | No data |
| 2023 | No data | $195,364,465 | $30,718,990 | No data |
| 2022 | No data | $186,376,256 | $39,834,484 | No data |
| 2021 | No data | $146,536,571 | $43,402,949 | No data |
| 2020 | $433,209 | $84,538,619 | $35,903,805 | $-84,105,410 |
| 2019 | $88,205 | $17,356,463 | $16,438,307 | $-17,268,258 |
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