Registered Representative Licensing

ACA Foreside can assist with all aspects of your FINRA licensing needs for both registered and private funds, including:

• Processing all appropriate registrations, examinations, and renewals
• Maintaining state and FINRA registrations
• Conducting annual compliance meetings and periodic on-site office inspections
• Administering required continuing education programs
• Training and supporting supervising principal at the client’s location
• Review and approve all fund marketing material

Certain ACA Foreside broker-dealers are also Exempt International Dealers in various Canadian provinces, enabling certain registered representatives to conduct marketing activities with permitted Canadian investors.