Foreside has strategic-thinking, compliance-focused professionals who can provide comprehensive Series 79 FINRA licensing services for investment bankers and M&A advisers.
- Provide licensing and compliance services for registered representatives (Reps) through a limited purpose broker-dealer
- Process, maintain, and update all FINRA and state registrations for the licensed individuals
- Furnish licensed individuals with required continuing education including annual “Firm Element” training and ongoing “Regulatory Element” training
- Conduct annual compliance meeting on-site for all Reps
Foreside also provides compensation-related licensing services. Foreside can:
- Manage the flow of transaction-based compensation through Foreside to the Reps
- Provide due diligence review of a transaction related to supervisory principal oversight
- Maintain financial books and records related to transaction-based compensation
For a summary of Foreside’s Business Continuity Plan, please click here.