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

Fully Customizable

Robust hierarchy and workflow management capabilities can be configured to mirror the firm’s operations.

Third Party Integrations

RegEd’s Xchange Licensing and Registration system provides integration with FINRA WebEFT, NIPR, DTCC and BI providers.

Automatic Validation

Registered representative credentials are automatically validated with FINRA and NIPR; robust exception handling alerts operations to any credentialing issues.

Business Process Automation

Triggers appointment transaction creation based on defined events, eliminating the need for staff intervention.

Comprehensive Dashboards

Provide unified views of onboarding approval status and exceptions.

Enterprise Reporting Capabilities

Generate templated and ad-hoc reports, across the representative population, at any level of the firm’s hierarchy, enabling firms to readily produce documentation to satisfy requests from internal stakeholders and regulatory examiners, reinforcing “culture of compliance” perceptions.

Configurable Questionnaires

Enable firms to streamline the onboarding process and optimize workflows, allowing candidates to easily complete and certify their onboarding packet, while uploading any required documentation.

Automatic Data Population

Automatic data population from primary sources reduces representative data entry, streamlines the onboarding process and instills rep confidence in their decision to join the broker dealer.

The solution integrates sophisticated workflow and hierarchy management capabilities that expedite the routing of electronic onboarding packets through the prescribed approval process, ensuring that all required sign-offs occur.


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

This report is authored by Craig Weber, Principal & Founder of Perspexion, and provides an overview of the current state of agency and agent onboarding among major U.S. insurers, the business impact of current tools and strategies, and the essential considerations for carriers that seek to improve their agency and agent onboarding performance.

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.

WEBINAR: Removing Friction For Your Financial Professionals – Streamlined Onboarding Through Next-Gen Technology

This session features a panel of sales and distribution leaders to discuss the current state of agent and agency distribution. Topics include managing multi-channel distribution, maintaining producer loyalty, data management and digitization, product strategy, agent/agency onboarding and credentialing, field services and more.


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


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.


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.


RegEd’s CE Central solution simplifies the management of producer compliance with state CE requirements.


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


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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