Registered Representative Licensing
ACA Foreside can assist with all aspects of your FINRA licensing needs for both registered and private funds. How We Help:
- Process all appropriate representative (“Rep”) principal registrations, tests, and renewals
- Maintain state and FINRA registrations
- Maintain proprietary and other technology-based systems to manage Rep data
- Provide all Reps with a compliance manual and related procedures
- Conduct annual compliance meetings for all Reps
- Conduct periodic on-site office exams (i.e., annual exam for OSJ location)
- Administer FINRA’s Continuing Education Program
- Track participation in firm and regulatory elements
- Administer compliance training for Reps, including email review and private placement marketing matters
- Establish supervising principal at the Office of Supervisory Jurisdiction (OSJ) location and provide training
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.