Overview

RegEd Permissive Registrations is a cloud-based module within the RegEd Xchange compliance platform, offering firms a WORM‑compliant, workflow-driven system to manage permissive registrations of agents, brokers or registered representatives. It ensures regulatory compliance (e.g. supervision requirements), tracks registration status and supervisorial duties, provides attestation workflows, and logs a full audit trail — enabling firms to streamline compliance and oversight of their registered population.

Features and Capabilities

• Satisfy regulatory supervision requirements: Supervisors are assigned per registered representative, meeting obligations like those under FINRA Rule 3110.
• Registration tracking: Monitor both partial and full permissive registrations, including status, effective dates, and supervisory assignments.
• Customizable attestation forms and workflows: Firms can tailor the standard attestation form and define hierarchical review workflows and custom review statuses.
• Attestation tracking with audit trail: Regular attestation cycles, with full logging of attestations and modifications to ensure transparency and regulatory readiness.
• Integration within unified compliance suite: Works as part of the broader RegEd Xchange “Producer Management” ecosystem, enabling registration/licensing, onboarding, compliance and credentialing within one platform.
• Scalable enterprise-grade solution: Built on RegEd’s SaaS‑platform used by hundreds of financial services firms, supporting large numbers of users, registrations and complex regulatory requirements.