Capital Market Solutions LLC Employee Directory

Financial ServicesNew York, United States2-10 Employees

Capital Market Solutions LLC is a New York-based firm in the financial services sector that focuses on regulatory compliance and surveillance for broker-dealers, investment banks, exchanges, OMS/EMS providers, and algorithmic trading firms. Its cloud-based platform handles CAT and CAIS reporting to FINRA, supports exception management, and provides regulatory insights. The flagship RSMS is designed to ensure timely submissions with high accuracy, contributing to audit readiness. The company lists Instinet, Broadridge, and Abel Noser among its clients, illustrating engagement with major market participants. In September 2025, Capital Market Solutions launched RSMS Vault, a cloud-based storage solution for SEC Rule 17a-4 that integrates with RSMS to offer immutability, encryption, and oversight.

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