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SEC Broker-Dealer Regulatory Reporting Platform

Automate SEC FOCUS Reports, Form 17-H, Security-Based Swap Reporting & Structured Data Filing

IRIS CARBON is an enterprise Regulatory Reporting Platform that enables broker-dealers, introducing brokers, security-based swap dealers, and regulated financial institutions to prepare, review, validate, collaborate, and electronically file SEC regulatory reports in Inline XBRL and XML.

Built for evolving SEC mandates, IRIS CARBON streamlines the complete regulatory reporting lifecycle—from data collection through filing—while reducing compliance risk and accelerating reporting timelines.

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Trusted by Global Financial Institutions for Regulatory Reporting

Designed for

Broker-Dealers

Introducing Brokers

Clearing Firms

Investment Banks

Security-Based Swap Dealers

Financial Institutions

Regulatory Compliance Teams

Why SEC Broker-Dealer Reporting is Changing

The SEC is modernizing broker-dealer reporting through structured data requirements under Release No. 33-11342. Regulatory filings such as the FOCUS Report, Form 17-H, and Security-Based Swap CCO reports etc must now be submitted electronically using Inline XBRL and XML formats.

These changes are designed to improve regulatory transparency, automate oversight, enhance market surveillance, and standardize financial reporting across regulated entities.

For reporting teams, this introduces new challenges:

Structured data preparation

Regulatory validation

Cross-functional collaboration

Filing readiness

Audit trails

Tight reporting deadlines

IRIS CARBON helps organizations meet these requirements through a single enterprise reporting platform.

Complete SEC Regulatory Reporting Platform

One Platform. Every Regulatory Filing.

Manage the complete lifecycle of SEC regulatory reporting from a single platform.

Supported reporting includes

SEC Form X-17A-5 (FOCUS Reports)

FOCUS Report Part II

FOCUS Report Part IIA

FOCUS Report Part IIC

SEC Form 17-H

Rule 17a-19 Notices

Security-Based Swap Reports (CCO, 15fi etc)

Annual Audited Reports (Part III)

Future SEC Structured Data Forms

How IRIS CARBON Works

From Financial Data to SEC Submission

SEC FOCUS Mandate broker-dealer reporting software
REGULATORY INTELLIGENCE

Built for Enterprise Regulatory Reporting

Instead of managing spreadsheets, disconnected review processes, and multiple reporting systems, IRIS CARBON provides one connected workspace for Finance, Compliance, Operations, and Legal teams.

Features include

  • Centralized reporting workspace
  • Multi-user collaboration
  • Workflow automation
  • Role-based approvals
  • Version management
  • Audit trail
  • Commenting
  • Document management
DISCLOSURE INTEGRITY

Built-In Structured Data Automation

Generate SEC-compliant Inline XBRL and XML filings without relying on multiple systems.

IRIS CARBON automatically supports:

  • SEC structured data requirements
  • Inline XBRL
  • XML generation
  • Taxonomy management
  • Validation rules
  • Filing package creation
REPORTING FLUENCY

Automated Validation Before Submission

Reduce filing risk before reports reach the SEC.

The platform performs automated validation across:

  • Financial consistency
  • Required disclosures
  • Data completeness
  • Taxonomy validation
  • Filing readiness
  • SEC structural checks

This helps reduce filing errors and minimizes regulatory review cycles.

Why Firms Choose IRIS CARBON

Reduce Regulatory Risk

Automated validations and controlled workflows improve reporting accuracy.

Accelerate Reporting

Reduce manual preparation time with reusable data and automation.

Improve Governance

Maintain complete version history, approvals, and audit trails.

Simplify Collaboration

Bring Finance, Compliance, Operations, and Legal teams together on one platform.

Future-Proof Reporting

Stay prepared as SEC structured reporting requirements continue to expand.

Supported SEC Reporting

IRIS CARBON supports regulatory reporting requirements across the broker-dealer ecosystem.

Broker-Dealer Reports

  • Form X-17A-5
  • Part II
  • Part IIA
  • Part IIC
  • Part III

Risk Reporting

  • SEC Form 17-H

Security-Based Swap Reporting

  • Rule 15fi-3
  • Rule 15fk-1 (SBSE CCO report)
  • Rule 3a71

Regulatory Notices

  • Rule 17a-19

Industries

Purpose-built for
Broker-Dealers
Clearing Brokers
Introducing Brokers
Investment Banks
Prime Brokers
Securities Firms
Financial Services Companies
Capital Markets Firms

Enterprise Regulatory Reporting Without Complexity

Unlike standalone XBRL tools, IRIS CARBON manages the complete reporting lifecycle.

One platform for:

  • Data Collection
  • Financial Reporting
  • Regulatory Validation
  • Workflow
  • Inline XBRL
  • Electronic Filing
  • Audit Readiness
  • Future SEC Reporting

Download IRIS CARBON® for Disclosure Management Brochure

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Ready for the Future of SEC Regulatory Reporting?

Prepare for evolving SEC structured data mandates with a single enterprise platform built for broker-dealer reporting.

Frequently Asked Questions

The Financial and Operational Combined Uniform Single (FOCUS) Report is a regulatory filing submitted by broker-dealers to the SEC and FINRA. It contains financial, operational, and net capital information used for regulatory oversight.
Registered broker-dealers, including clearing firms, introducing brokers, and certain security-based swap entities, must file different versions of Form X-17A-5 depending on their regulatory classification and business activities.
If your firm has registered with the SEC using Form SBSE, SBSE-A, or SBSE-BD, the SBSE-CCO-RPT mandate applies. Non-U.S. firms relying on substituted compliance under Rule 3a71-6 may also be subject depending on jurisdiction.
SEC Release No. 33-11342 modernizes broker-dealer reporting by requiring electronic structured data submissions for specific regulatory filings using Inline XBRL and XML formats.
Inline XBRL combines human-readable financial reports with machine-readable structured data, allowing regulators to analyze filings more efficiently while preserving a familiar document format.
Yes. IRIS CARBON enables organizations to prepare, validate, collaborate on, and electronically submit SEC regulatory reports in the required structured data formats, including Inline XBRL and XML.
IRIS CARBON centralizes data collection, automates validations, manages approval workflows, maintains audit trails, and generates SEC-compliant filing packages, reducing manual errors and improving filing confidence.

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IRIS CARBON® is a leading disclosure management platform that streamlines and automates regulatory reporting across diverse domains. Our solutions encompass ESG Reporting, SEC Filings, ESEF Reporting, XBRL/iXBRL Reporting, and a range of other financial and non-financial disclosures. By leveraging our platform, organizations can enhance transparency, boost data accuracy, and ensure compliance efficiently. Discover our comprehensive Disclosure Management Solutions and learn how IRIS CARBON® can transform your reporting process.