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National Association of Securities Dealers Order Audit Trail System Central Registration Depository
Requirements Analysis Development Management Development Infrastructure Platform Deployment Business Readiness |
Sarsen has provided NASD (the Nasdaq stock market’s parent company) a full range of system development support including project management, analysis, design, development, quality assurance, and RFP preparation and evaluation for the Central Registration Depository (CRD) system. Business areas supported include securities-related order tracking, registration-related electronic form filing and processing, work flow management, billing and accounting, organizational communications, and reporting infrastructure. Specific projects include:
Order Audit Trail System Requirements Analysis Platform Deployment Business Readiness Sarsen provided requirements engineering and deployment support for the Order Audit Trail System (OATS). OATS supports electronic filing and web-based viewing of Nasdaq customer order information received from securities firms. The information is to create an integrated audit trail of order, quote, and trade data for regulating the industry’s order handling business practices. - Our consultants managed and developed business requirements for 3 software releases using CMM Level 2 requirements engineering processes, Requisite Pro (requirements tracking tool), and PVCS Tracker (issue and change request tracking tool) - Developed and implemented registration and deployment processes to ensure compliance with NASD rules and to ensure the business, development, QC testing, help desk, and production services teams worked together efficiently. - Developed over 50 queries and reports using Access to support registration, deployment, and compliance activities - Trained staff members on all aspects of the system, from the user interface to detailed technical operations - Created Enterprise System Management (ESM) system monitoring requirements for the OATS system - Authored two Service Level Agreements that documented performance and operational requirements for support groups and related systems. Central Registration Depository Development Management Development Infrastructure Provided full life cycle support for both client/server and web-base implementations of CRD. CRD is responsible for capturing registration and disciplinary information about all securities firms and their brokers. - > Managed 4 application development projects involving analysis, design, development, quality assurance, configuration management, and implementation activities. -> Analyzed and designed 9 applications ranging in size from 5 - 95 tables. Produced related documentation ranging from high level business requirements to detailed design deliverables using the Information Engineering methodology (including data and process models), facilitation techniques, and Visual Basic prototypes. -> Managed the analysis and improvement of all work processes for the NASD’s 200 person Membership department. Primarily focused on transitioning work processes and staff from a mainframe-based operating environment to an Internet-based environment. - > Managed the deployment of a requirements management tool (Requisite Pro) to 14 teams to support an object-oriented development methodology.
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