Registration and Licensing Tracking

Effectively aggregate data and gain insight into the real-time information required to successfully lead your firm’s compliance program and manage your registered representatives.

• Review and submit U4/NRF filings on behalf of Reps directly to FINRA’s CRD
• Run analytical reports for rep CRD and custom-defined data
• Extract data for users, hierarchy, and CRD
• Comply with FINRA Rule 3270 and Supervisory Control Rules by reviewing and tracking submissions
• Monitor rep activity with notifications
• Monitor and track registered representatives with NIPR integration
• OBA tracking for registered reps
• Electronically file with regulators
• Make accurate and up to date registration and licensing information available to other firm systems including trading, commissions and human resources

Stay in alignment with your firm’s compliance program, with automated processes and reminders to ensure you never miss a due date.

• Make amendments to U4 data and submit filings with supervisor approval
• Gain access to CRD data including CE/Exam window, current licenses, and registrations
• Receive status and reminder notifications based on workflow statuses and CE/Exam windows
• Reduce manual data entry time and errors with pre-populated fields
• Adhere to FINRA Rule 1250 with outstanding task and upcoming deadline alerts