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.
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, 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.
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.
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.