• Operational Support
  • Clearing and Settlement Services
  • Compliance Tools
  • Custody Services
  • Reporting Services

• Trading Services
  • Equity Trading
  • Fixed Income Trading
  • Best Execution

• Flexible Technology
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  • Professional Access Solutions
  • iNautix Enterprise Solutions

• Investment Solutions
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  • Fund Solutions
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• Practice Management
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  • Events
  • Marketing Services
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  • ValueAlliance®

• Service Excellence
  • Dedicated Service Model
  • Quality Management Process
  • Reliability

Best Execution

Pershing strives to deliver best execution for your order flow. Our Best Execution Steering Committee brings together senior officers from across Pershing to provide overall leadership and guidance. Each day, we monitor execution quality with quantitative and qualitative assessments of various market centers. Monthly, we distribute an Execution Quality Scorecard—created by an independent, third-party audit firm—comparing our performance to industry benchmarks. We also conduct annual market center site visits.

If you execute exclusively through Pershing, we can help you meet the reporting requirements of Financial Industry Regulatory Authority™ (FINRA™) Order Audit Trail System^SM (OATS^SM) and Securities and Exchange Commission (SEC) Rule 606 (formerly SEC Rule 11AC1-6). When applicable, we can also help you meet Markets in Financial Instruments Directive (MiFID) requirements.

Benefits

• Help with satisfying regulatory reporting requirements
• Expert assistance in identifying and reconciling trade breaks, which can reduce comparison risk and exposure
• Order routing recommendations based on summaries of market center performance provided by our Execution Quality and Order Routing Management Group
• Monthly Execution Quality Scorecards comparing Pershing's performance to the industry for S&P 500® and NASDAQ 100® trades

Contact us today to learn more about how we can ensure you achieve best execution.

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