Regulated entity suite

NEXIOS BD Financial and Operations Suite

The back office and the compliance office for an introducing broker-dealer, in one system. Net capital, FOCUS, SIPC-7 and 17a-11 computed live from the ledger; trade surveillance, OFAC screening and FINRA rulebook research built in. Nothing on the page is invented — if a figure isn’t computed from your own records, it isn’t shown.

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Every regulatory computation was checked line by line against the actual rule text — SEC Rule 15c3-1, 17a-11, FINRA FOCUS and SIPC-7 instructions, not against someone’s memory of them. Where a figure was found to disagree with the primary source, it was corrected and the trace was kept. NEXIOS BD computes from your real ledger and shows its work.

Built by someone who ran the books

NEXIOS BD is built for introducing broker-dealers and the FinOps — in-house or outsourced — who keep their books to regulatory standard. It was written by a former broker-dealer FinOp and CFO who got tired of spreadsheets that look right until an examiner asks a question they can’t answer, and point tools that don’t talk to each other.

It’s a double-entry ledger that knows the regulatory math, writing to a hash-chained, append-only audit trail, so “what did we know and when” has one real answer instead of three spreadsheets that disagree.

NEXIOS BD is scoped to introducing firms today — firms that carry no customer accounts or inventory, with everything held at a fully disclosed clearing firm. For firms that are also a state-registered investment adviser, it tracks the net-worth-or-surety-bond requirement against those same books, so a dual-registered RIA doesn’t need a second system just for that calculation.

Module one

The back office

Net capital, computed live

Aggregate indebtedness and net capital are recomputed directly from the journal on every view — never a cached balance that can drift from the books.

FOCUS Part IIA, in whole dollars

Each line rounds half-away-from-zero the way it’s filed, with a rounding-difference row so nothing silently disappears, and a warning when a rounding choice flips a regulatory threshold.

17a-11 early warning

Same-day and 24-hour notice triggers are computed automatically from the current ledger position, not from a quarterly check someone remembers to run.

SIPC-7 assessment

The worksheet, computed and ready to review each assessment period.

RIA net worth & bonding

For dual-registered firms: the state net-worth-or-surety-bond minimum, tracked against the same books, with bond coverage and any deficiency shown alongside it.

Maker-checker that actually blocks self-approval

Journal approvals, capital-impacting account changes, and FOCUS/SIPC certification all require a second person — the preparer cannot sign their own work.

Examiner export pack

A per-period XLSX workbook and a CSV/JSON bundle — trial balance, GL detail, net capital lines, FOCUS computations, the audit-log hash chain — with live formulas and a tie-out sheet, built for the format an examiner actually asks for.

A bridge off QuickBooks

Import a trial balance, map accounts once, reuse the mapping every month — for firms that keep their books in QuickBooks today and don’t want to re-key everything.

A practice layer for outsourced FinOps

One login, several client firms, each isolated — built for the FinOp who serves more than one introducing broker-dealer.

Module two

The compliance office

The FinOp and the CCO/AML Officer work in the same system, on the same books, each with their own login — not two point tools that don’t talk to each other.

Trade surveillance & OFAC screening

FINRA Rule 19-18 surveillance scans and OFAC/sanctions screening, with findings routed to the Compliance/CCO role and kept separate from financial data.

The FINRA Manual, searched in real time

Full-text search and grounded Q&A against the actual FINRA rulebook, not a short list of the most-viewed rules.

WSP, AML Program & Cybersecurity Program drafts

A questionnaire gated by your firm’s actual approved scope of business (Form BD Item 12) drafts a firm-specific starting document grounded in FINRA Rule 3110, Rule 3310’s AML template, and SEC Reg S-P/S-ID — not a blank form to fill in by hand. Every draft says plainly that it’s a starting point, not a substitute for your own compliance consultant or counsel.

A separate login for the Compliance/CCO role

The FinOp sees the firm’s financials. The Compliance/CCO Officer sees surveillance, screening and the compliance manuals — and nothing financial. One system, two logins, no shared password.

The real NEXIOS BD dashboard, right after sign-in

How the alternatives compare

Published prices are cited where they exist; most compliance software in this category doesn’t publish pricing at all, which is itself telling for a small introducing firm trying to budget.

	NEXIOS BD	Orion Compliance	Spreadsheets + outside FinOp
Net capital, live from the ledger	Yes	Varies by module	Manual, recalculated by hand
Tamper-evident audit trail	Hash-chained, built in	Not published	No
Examiner export pack (XLSX/CSV/JSON)	Yes	Not published	Built by hand each time
Runs on your own machine or server	Yes — your data never leaves it	Hosted (vendor’s servers)	Yes, but no system of record
FinOp and CCO in one system	Yes — net capital, surveillance, OFAC, WSP/AML/Cybersecurity drafting, one login each	Compliance only — no net capital or FOCUS	Separate tools and consultants for each
Published price	Quoted per firm	~$8,500/yr (published anchor)	Consultant’s hourly rate, ongoing

Pricing

Quoted per firm, after a short conversation about what you need — an introducing broker-dealer, or a FinOp practice serving several firms. No published list price yet; email sales@polyapps-ai.com.

Tell us about your firm

We’ll show you NEXIOS BD on your own numbers, not a demo dataset.

Request a demo

sales@polyapps-ai.com