CRD FilingPro

Are you using too many resources for electronic filings and registrations?

People? Time? Money?

Let us be the trusted filings and registration experts you rely on.

Management and maintenance of registrations and electronic filings can be an arduous task. We will provide efficient and accurate regulatory filings through Web CRD and other electronic systems for your Broker Dealer or Investment Advisory firm.

CRD FilingPro services allow your compliance team more time to work on your business, rather than in it.

  • Constant monitoring of pending filings
  • Resource for questions on required filings
  • Consistent reporting of your filings
  • Maintenance and tracking registered rep registrations (U4/U5 Implementation and full review, Fingerprint cards)
  • Liaise with State and regulatory administrators
  • Review and file accurate complaint reporting forms and other disclosures
  • Secure management of your firm’s private information
  • Form updates and filing requirements applicable to firm business

Regulatory Compliance is familiar with registration fees and the ways in which the information in the filings will affect your firm’s fees; we know the questions to ask to make sure your filings are done correctly the first time.

Current. Connected. Consistent.

Our experience and relationships with regulators keep us up-to-date regarding entitlements, system updates, fee changes, and much more.

Reduce management and cost.

Save time and money with fully managed support from a team of professionals that will provide an efficient service and relieve your stress.

Take advantage of an experienced team by calling us now! (888) 734-2667