PERMISSIVE REGISTRATIONS: CAPABILITIES
RegEd’s Xchange and Compliance Questionnaires solutions provide a comprehensive, WORM-compliant system for managing permissive registrations using a highly configurable workflow and approval process.
Satisfy FINRA Rule 3110
Supervise the activities of individuals consistent with the requirements of FINRA Rule 3110 (Supervision), including the assignment of an appropriately registered supervisor under FINRA Rule 3110(a)(5) who is responsible for supervising their activities.
Registration Tracking
Administrators may track and report on both partial and full permissive registrations for their registered rep population. Tracking includes status and effective dates as well as associated supervisory information to ensure the proper management of the permissive population.
Fully Customizable
You may customize RegEd’s standard Permissive Registration Attestation form to fit your firm’s needs, and drive increased efficiency and supervisory control using custom, hierarchical-driven workflows and review statuses.
Attestation Tracking
Regularly scheduled attestations ensure up-to-date and accurate information across your registered population while the system ensures a full audit trail is logged and properly recorded.
You may customize RegEd’s standard Permissive Registration Attestation form to fit your firm’s needs, and drive increased efficiency and supervisory control using custom, hierarchical-driven workflows and review statuses.
PERMISSIVE REGISTRATIONS: 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: 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.
WEBINAR: Onboarding in the Digital Age / Insurance Leaders Panel
Senior business leaders from top insurance companies and distributors discuss some of the challenges and opportunities facing the insurance industry in the context of these changing times – including digitization of insurance; M&A and consolidation; economic uncertainty; competitive pressures; advances in technology; and of course, more regulation.
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.
PERMISSIVE REGISTRATIONS: 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.
CE CENTRAL
RegEd’s CE Central solution simplifies the management of producer compliance with state CE requirements.
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.