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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

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.

why foreside makes sense

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partnership for growth

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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transformative tech

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