The new capability enables firms to electronically submit registration data directly to FINRA as part of the standard license and registration workflow. This enhancement removes the need for manual entry into the FINRA Gateway, reducing duplication of effort and improving process accuracy. With the addition of the automated data push, Star's Broker-Dealer Registration solution now offers a two-way integration with the FINRA Gateway.
"In many firms, registration data still has to be manually entered into FINRA even after being captured internally," said Kelvin Dickenson, Chief Product Officer at StarCompliance. "By enabling automated submission directly to FINRA, we are removing a significant operational bottleneck. The result is faster processing, fewer errors, and a more efficient experience for both compliance teams and registered representatives."
Star's Broker-Dealer Registration solution delivers an integrated, end-to-end platform for managing the full license and registration lifecycle with accuracy and transparency.
The solution supports:
- Onboarding of licensed and registered employees
- Monitoring exam windows, training requirements, and completion status
- Managing Forms U4 and U5 updates and registration changes
- Reconciling data between internal records and FINRA
- Centralized reporting to provide clear visibility into registration progress and status
The enhanced solution delivers structured automation and real-time visibility across the entire license and registration process, streamlining workflows while maintaining control, consistency, and audit readiness while significantly reducing the manual workload for compliance and registered reps.
Key capabilities include:
- Automated workflows to standardize and streamline registration tasks
- Alerts and reminders to keep exams, filings, and approvals on track
- HR data integration to automatically trigger registration requests
- In-application progress tracking for real-time status visibility
- Centralized reporting across registration timelines, exam windows, continuing education requirements, and submission statuses
Together, these capabilities enhance transparency, consistency, and operational control across the registration lifecycle. By reducing manual intervention and improving data accuracy, Star enables broker-dealers to accelerate registration timelines and minimize delays that can prevent representatives from engaging in revenue-generating activities.
About StarCompliance
StarCompliance is a leading provider of employee and firm compliance technology solutions. Trusted for over 25 years by millions of users in 120 countries, StarCompliance Enterprise Platform provides a user-friendly interface that connects people, workflows and data, delivering the technology and actionable insights needed to proactively mitigate risk and monitor conflicts globally. Visit StarCompliance: Regulatory Employee Compliance Software to discover the comprehensive security and unparalleled assurance you need to build a connected culture of compliance today.
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