Clearing Back Office

The SOX (Sarbanes Oxley) Application functionality is used by back office managers to view users' system entitlements. This tab only appears for SOX-authorized users.

  • To generate a SOX report:
  1. Click the SOX Application Report tab.
  2. Select the Clearing Firm and Globex Firm from the drop down list.
  3. Select one more applications.
  4. Click Search.

User IDs associated with each application appear in a list.

  1. To view the user’s application entitlement, click the User ID link.

Note: To generate an entitlement profile report for all users, click Download Excel Report.