Rep Dashboard

Rep Dashboard

Rep Dashboard
  1. Location of Firm’s most current versions of WSP (Written Supervisory Procedures) & RIA Manual
  2. [WSP Attestation] Button will attest to your having access, and responsibility to adhere, to the WSPs/RIA Manual w date of last attestation
    1. ONCE COMPLETED, PDF of your attestation will be filed with Firm’s Compliance
  3. FinPRO – 1) Access to your information in Finra 2) review U4 information or 3) take CE
    1. You must create a user name/password directly with Finra. You can also reset password directly with them
    2. All detailed instruction for FinPRO are provided on the site - follow link
  4. CE Window, will show RED if window is open
    1. CLICK for a pop-up of detailed instructions to take CE.
    2. Email CCO when CE is completed -OR- if you have any questions
  5. Submit information concerning
    1. Advertising|Communication w the Public,
    2. any checks received (and give to Ops/Compliance immediately),
    3. or any Complaint received (and speak with your compliance officer
  6. Firm Notification Center
    1. Any firm notifications pinned by compliance will appear here, in addition to having received via email
  7. Links to blank forms
    1. *If more than 1 need reporting, enter ONE PER FORM*
      1. Example: 1 form PER brokerage account, or per OBA
  8. Reports of Submitted Attestations -or- to RE-ATTEST or CANCEL a previously submitted attestation
    1. Click on grey square > Re-Attest or Cancel
    2. ***Attestations can be printed/saved at any time: Rt-Click > PRINT
  9. Knowledge Base = Detailed Instructions about steps, dashboards and attestations

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