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Broker-Dealers

ATS Subscriber Access with Full Compliance Pipeline

Direct CLOB matching engine access for registered broker-dealers. Omnibus, fully-disclosed, and institutional account structures. Every order passes the same compliance pipeline: sanctions, jurisdiction, accreditation, position limits, and offering-type gating.

Use Cases

Omnibus & Fully-Disclosed

Aggregate client positions under a single ATS account (omnibus) or operate fully-disclosed per-client. Supports institutional accounts with LEI/EIN and authorized trader lists.

Connectivity

REST and WebSocket over HTTPS, FIX 5.0 SP2 for order routing and drop-copy, and ZAP binary for a fixed-frame wire. Each reaches the same book under the same rate limits โ€” the transport is a choice about your stack, not about your standing.

Pre-Cleared Order Flow

Attest to equivalent sanctions screening with bdPreCleared flag. Accreditation and Reg D/CF/S/A+ offering checks always run for audit integrity.

Drop-Copy & Reporting

Real-time JSON or FIX ExecutionReport drop-copy feeds. Compliance alerts via WebSocket, regulatory CSV/XML via SFTP, full audit trail via REST.

Features

REST + FIX 5.0 SP2 + ZAP Binary (mTLS)
Omnibus / fully-disclosed / institutional
T+1 equities settlement via NSCC/DTC
Instant crypto settlement on-chain
OATS, CAT, ATS-N, Form ATS, TRACE
Reg D 506b/c, Reg CF, Reg S, Reg A+ gating
12-month FIFO resale hold enforcement
DVP via DTCC CTM confirmation

Integrations

DTCCNSCCFINRA CATBloombergBitGoFireblocksChainalysis

Ready to get started?

Talk to our team about how Lux can power your broker-dealers infrastructure.