DataTrax™
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 can access a comprehensive view of all new and updated information on their representatives on a daily basis, inclusive of registration details, exam completions and continuing education requirements. With two way integration with FINRA through WebEFT, DataTrax gives professionals access to timely registrant information reducing informational errors and resulting phone calls to firm personnel. By implementing U4 amendments firms can push the burden of U4 updates down to representatives and managers with RegEd’s verification process still allowing administrators to retain control of the update process.
DataTrax features include:
- SRO and Jurisdiction Registrations
- Exam Windows and Results
- CE Requirements and Results
- Representative Personal Information
- Complete U4 Information
- U4 and U5 Amendments
- Daily Queues of Representative’s FINRA Data Changes
- Exam and CE Window and Result Notifications
