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.

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