FINRA REGISTRATION PROFILES: CAPABILITIES

RegEd’s FINRA Registration Profiles solution enables firms to manage FINRA-related registration information for each registered representative to ensure regulatory requirements are met.

FINRA WebEFT Integration

Create U4/U5 filings and electronically submit to FINRA. Automated nightly feed ensures that all information is current and accurate.

Robust Reporting

Enables compliance administrators to track critical aspects of a rep’s regulatory history, such as compliance requirements and status.

Single User Interface

Enables key stakeholders to view and maintain representative and branch registration, increasing the efficiency of administrative management and compliance issue resolution. Assembles representative renewal data, including costs and fees.

CE and Exam Notifications

Enables administrators to send customizable CE and exam window notifications to recipients defined by the firm’s hierarchy.

The solution can directly interface with the NIPR, BI providers and distribution partner systems to auto-populate contracting forms, greatly streamlining the collection of producer data. Once producer data is collected, it is automatically reused in subsequent appointment and other transactions.

FINRA REGISTRATION PROFILES: RELATED RESOURCES

Content covering the latest news and best practices for onboarding, licensing and registration, from industry and RegEd subject matter experts.

WEBINAR: Licensing & Registration Leaders Panel

This webinar features a panel of compliance and operations leaders who discuss the current state of licensing and registration and its impact on distribution, operations and compliance programs in light of the pandemic.

WHITE PAPER: Distribution Onboarding in the Digital Era

RegEd is pleased to share the following report based on a survey and interviews of executive and managerial staff within carriers’ distribution management and operations areas.

WHITE PAPER: Insurance Agency Licensing and Compliance: New Models for New Times

This report, authored by Karlyn Carnahan, CPCD, Head of Insurance at Celent, provides an overview of the different challenges faced by insurers, agencies, and call centers in the compliance process, and details some of the factors to consider when deciding whether to purchase technology designed specifically to manage the compliance process — or whether to consider managed services.

EXECUTIVE BRIEF: Xchange Onboarding, Licensing and Registration

This executive brief provides an in-depth overview of Xchange, RegEd’s Enterprise Contracting, Licensing and Registration solution, developed in collaboration with top industry firms, which has been implemented in more than 500 financial services firms.

FINRA REGISTRATION PROFILES: RELATED SOLUTIONS

Complementary solutions to power your compliance and credentialing program - all on a unified enterprise platform.

ALERTS 2.0

Alerts 2.0, a module of RegEd’s Xchange Enterprise Licensing and Registration solution, enables companies to identify individuals and agencies for which they should receive notifications and automated PDB data updates.

MANAGED SERVICES

Using Xchange, RegEd’s Licensing and Registration Managed Services team can prepare the required filings and transactions, order supporting documents, validate producer data against current regulatory sources, and maintain evidence of filing.

REGISTERED REP ONBOARDING

RegEd Registered Rep Onboarding solution offers the unique ability to drive unparalleled operational efficiency and optimize all processes throughout the onboarding and registration process.

XCHANGE ENTERPRISE OVERVIEW

Xchange is unique in its ability to drive unparalleled operational efficiency and optimize all processes across producer / rep on-boarding, registration and licensing activities.

CONTACT US

Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.

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