RegEd Licensing and Registration
Our licensing and registration offerings are complemented by our continuously updated electronic library of compliance requirements, SRi, our ASP CE tracking and noticing system, CE Central, and RegEd's state producer data reconciliation service, Rxconcile.
RegEd Xchange was developed in conjunction with some of the largest, most exacting financial services firms and since has been adopted by leading firms in every segment of the industry. Xchange is used by our internal Registration and Licensing Services group to seamlessly facilitate compliance for our outsourcing customers.
CE Central
CE Central simplifies management of producer compliance with state CE requirements. CE Central marries licenses held, in user profiles, with jurisdictional requirements to create a single view of each producer's requirements.
DataTrax
RegEd's web-based securities application allows firms to manage all FINRA related registration information on each of their registered representatives to ensure regulatory requirements are met. Compliance administrators can access a comprehensive view of all new and updated information on their representatives on a daily basis, inclusive of registration details, exam completions and continuing education requirements. With two way integration with FINRA through WebEFT, DataTrax gives professionals access to timely registrant information reducing informational errors and resulting phone calls to firm personnel. By implementing U4 amendments firms can push the burden of U4 updates down to representatives and managers with RegEd’s verification process still allowing administrators to retain control of the update process.
eKITS
eKITS are a new way to gain efficiency and lower costs in your licensing operations. With eKITS, you will no longer need to gather, maintain, compile or mail licensing/appointment forms and requirements. eKITS gives your producers direct online access, via the web. You can actually eliminate all outbound paper by including your company specific forms and instructions online.
eKITS is an intuitive web-based service that provides a quick and easy way for producers to identify and download the exact licensing kit they require.
Registration and Licensing Services
Deep and broad regulatory expertise, the finest licensing and registration system available and knowledgeable, caring staff who work to the highest customer service standards, set RegEd Registration and Licensing Services apart.
We are prepared to handle your full operation on a BPO basis, manage a large project on short notice, or handle an ongoing, steady stream of your licensing and registration compliance filings. Utilizing our industry leading enterprise-level licensing and registration system, RegEd Xchange, we can manage your compliance at improved speed and to the highest compliance standards.
RegEd staff is practiced in insurance licensing, appointments, terminations, securities registration, and management of continuing education requirements. Our staff relies on SRi CompliancePRO, our online licensing requirements system that is used by Xchange customers and is maintained by RegEd legal and compliance staff, to ensure we have the most current, reliable rules and requirements.
Rxeconcile
One modest investment in Rxeconciling your producer database with state and federal records will save you significant sums of money, reduce licensing and registration workload and improve your market conduct compliance rating.
You can make Rxeconcile even more painless by engaging RegEd Registration & Licensing Services to handle terminations, additional appointments or registrations that are identified.
SRi CompliancePro
SRi CompliancePro includes the "must know" information for producer licensing. From state requirement summaries and compliance checklists, to full-text statutes and market conduct tools, SRi CompliancePRO is the most complete producer licensing resource ever created.
Xchange
RegEd worked with the industry's leading carriers and distributors to build an integrated application that satisfies the largest firms' most complex requirements for contracting, insurance licensing and securities registration, from end-to-end. Today, Xchange is installed in firms of every size, in every segment of the financial services industry.
Xchange eliminates the paper in contracting, licensing and registration by placing a user-friendly Q&A engine directly in the hands of your producers. Collected once, producer profile data is stored in the Xchange database and called upon for contracting, licensing, appointments, securities registration and continuing education.
Xchange will fully automate your entire licensing and registration enterprise from the producer desktop all the way through to the regulatory authorities. E-contracting incorporates your company-specific forms and processes. You implement Xchange's customizable workflows and integrate Xchange data with other critical systems like Human Resources and New Business/Commissions. With Xchange a firm can automate processes that were formerly manual and human intensive. Xchange can verify a new producer's appointment status after a sale and trigger a just-in-time appointment based upon activity in your commission system. Xchange can also initiate a license amendment from a change of address in your HR system, and more.
Fully integrated with the NIPR and the FINRA's Web CRD, Xchange will push and pull representative and agent information, conduct verifications and identify data disparities, as permitted by regulators.
The possibilities are unlimited. As an application that is centered and built on client-defined needs, Xchange continues to grow and adapt to regulatory changes and client requests.
Visit http://reged.stoneriver.com for additional details.
