Firm or agent registration in a state can be
very complicated and time-consuming. Each state
offers written instructions on its individual
registration process; however, the SCA
registration staff is familiar with the
"unwritten" preferences of each state that allow
the registration process to be completed faster
and more efficiently. SCA not only prepares and
submits a state registration package, but also
monitors the progress of each state filing until
the registration becomes “APPROVED.”
WebCRD and Representative Registration
Clients may outsource the entire Web CRD
function to SCA staff. We will file all new
U-4's, U-5's and amendments to Form BD, U-4 and
U-5, and also file 3070 Complaint and Disclosure
filings. SCA provides a Web CRD monitoring system
for those firms who wish to use their internal
staff resources more efficiently.
SCA evaluates each
firm’s business and determines the frequency of
monitoring needed to keep the firm in compliance.
SCA will supervise all areas of CRD and notify the
firm of deficiencies, renewals, upcoming
continuing education requirements and provide the
firm with Supervision Reports. We are also
available for consultation for any Web CRD
filings, DRP reporting and 3070 Complaint and
Disclosure Filings. By outsourcing daily, weekly
or bi-weekly monitoring to SCA, a firm can save
vast amounts of time and avoid unexpected and
unnecessary violations.
