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Registered Representative Licensing

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.

Receive an additional 10% discount off Solomon Exam Prep study package pricing:  Series: 3, 6, 7, 14, 22, 24, 26, 27, 28, 50, 51, 52, 53, 54, 63, 65, 66, 79, 82, 99 & SIE

 

why foreside makes sense

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We provide our clients the most innovative offerings that help drive their business forward. 

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Consultative + Comprehensive

We see regulation as a catalyst for innovation. 

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We apply best-in-class technology to address today’s regulatory reality and drive operational efficiency.