FINRA Registration Profiles

RegEd's web-based securities application allows firms to manage all FINRA-related registration information on each of their registered representatives to ensure regulatory requirements are met. Compliance administrators, supervisors and representatives can access a comprehensive view of all new and updated Form U4 information on a daily basis, including SRO and jurisdiction registrations, outside activities, disclosures, exam and CE windows and results, and office locations. An automatic nightly feed from FINRA's WebEFT portal ensures that all information is current and accurate. The integration of RegEd's database with WebEFT increases efficiency, accuracy and transparency, and helps identify critical compliance problems.

This two-way integration with FINRA allows FINRA Registration Profiles to give professionals access to timely registrant information, reducing data errors, and by extension, calls to firm personnel. A single user interface allows you to view and maintain representative and branch registration, increasing the efficiency of administration management and compliance issue resolution. It also allows you to send customizable CE and Exam window notifications to recipients defined by your organizational hierarchy. Invoicing processes enable reps to pay registration and other fees through credit cards or commission accounts on an annual or periodic basis.

Key FeaturesBenefits
  • U4/U5 filings may be created, reviewed and submitted directly to FINRA
  • Customizable CE and Exam notifications
  • Analytical reporting merges FINRA information with hierarchy and custom-defined fields
  • Reduces entry errors and increases efficiency
  • Allows field supervisors to access representative FINRA information
  • Assists in gathering representative renewal data, including costs and fees

FINRA Registration Profiles offers extensive analytical reporting and allows compliance administrators to track many aspects of a representative's regulatory history, including their compliance requirements and status. FINRA Registration Profiles also has extensive analytical reporting capabilities, allowing compliance administrators to track many aspects of a representative's complete regulatory history. Analytical reporting allowing FINRA information to be merged with hierarchy and custom defined fields to create dynamic, meaningful information for dissemination to other parties. FINRA Registration Profiles gives compliance professionals access to real-time data administration, reducing information errors and freeing individual to perform more important tasks.

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