Registered Representative Licensing

ACA Foreside's registered representative services 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 representatives are also Exempt International Dealers in various Canadian provinces, enabling certain registered representatives to conduct marketing activities with permitted Canadian investors.