| Navigating the storm of regulatory filings has long been an area of concern for FINRA member firms. Inaccurate and incomplete form filings can slow an agent’s registration down, or worse cause a "non-reportable" item to become permanent on his/her CRD record. Confidentiality and Timely Filings are another area of concern for many firms and their agents. For over 20 years, MGL has successfully guided its clients through the maze of regulatory filings required by FINRA, SEC and state regulatory agencies. |  |
|
| Our staff
of trained professionals can help you make sure that your filings
are handled accurately, expeditiously, and economically. Form U-4 filings/amendments. MGL’s staff of professionals will prepare your agents’ Form U-4 filings with the required information and submit them to you for final review and approval. Once approved, our staff will electronically submit your filings to the CRD and track all agent approvals, promptly notifying you as approvals are received. CRD Relicensing. The relicensing process replaced the Temporary Agent Transfer Program ("TAT") which was in existence prior to August 1, 1999. The relicensing process is comprised of three authorization methods of approval: (1) Temporary Method – grants a 30 day license; (2) Automatic Method – grants a full license if there are no new or updated DRPs and the state has not preset a manual method of review; and (3) the Manual Method of approval, requires that each individual’s application / amendments must be reviewed manually by the state regulatory agency for any conflicts, deficiencies or supporting documentation. Form BD filings/amendments. MGL’s staff of professionals will prepare and or review your firm’s Form BD filings for completeness and accuracy. Upon completion the Form BD filings will be forwarded to you for final review and approval. Once approved, our staff will electronically submit your filings to the CRD and track all agent approvals, promptly notifying you as approvals are received. In addition to Administration services, our firm can train your staff to Administer and trouble shoot your firm’s registrations via the FINRA Web CRD System. For more information regarding our Web CRD Administrator services, please contact Debra M. Schaps, Vice President of BD Administration. |
||