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.

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