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 client’s location
- Review and approve all fund marketing material via Foreside AdCompliance®, our proprietary marketing material review system
Certain 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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