Rep: Annual Attestations

Rep: Annual Attestations


Rep Dashboard

  1. Firm’s most current version of WSP (Written Supervisory Procedures) & RIA Manual
  2. FinPRO – Access to your information in Finra – to review U4 information (or to take CE)
    1. You must have or create a login directly with Finra, instructions are on the site
  3. Blank New Forms
  4. Re-Attestation: to review previously submitted information
  5. See realtime status of the forms you've completed

Annual Attestations

If it is a:

  1. New attestation|Request -OR- To Attest to NOT having it >> CLICK ON A NEW FORM BUTTON (blue button on left)

  2. RE-Submit|Cancel previously approved info >> CLICK ON THE REPORT (grey button on right)

    1. For previously approved: brokerage account, OBA, website, social media, communication mode
ReAttest or Close/Cancel

Rep Dashboard = Panel de Representante

  1. La versión más actual de WSP (Procedimientos Escritos de Supervisión) y Manual RIA de la empresa
  2. FinPRO – Acceso a su información en Finra: para revisar la información de U4 (o para tomar CE)
    1. Debe tener o crear un inicio de sesión directamente con Finra, las instrucciones están en el sitio
  3. Nuevos formularios en blanco
  4. Re-Atestiguación: para revisar la información enviada previamente
  5. Ver el estado en tiempo real de los formularios que ha completado

    6. Annual Attestations = Certificados Anuales

    Si es un:

    1. Nueva certificación|Solicitud -O- Para certificar que NO la tiene >> HAGA CLIC EN UN BOTÓN DE FORMULARIO NUEVO (botón azul a la izquierda)

    2. RE-Enviar|Cancelar información previamente aprobada >> HAGA CLIC EN EL INFORME (botón gris a la derecha)

      1. Para aprobación previa: cuenta de corretaje, OBA, sitio web, redes sociales, modo de comunicación

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