Annual Compliance Questionnaire

Professionals in the securities industry are required to keep their firm informed on any changes that occur with regards to the information contained in their U4 form. In addition, firms are required to keep up to date on those changes and report them to FINRA as per Rule 311 which requires a firm to establish and maintain a system to supervise the activities of its associated persons to achieve compliance with securities laws and regulations, as well as other FINRA rules.

The Blaze QNA Platform available on the Blaze Xpress platform provides firms with a solution that allows firms to:

  • Simplify the gathering and reporting of important information
  • Save time by eliminating manual processes and paperwork
  • Build compliance confidence throughout a firm

Interested in seeing our solution in action?

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  • Fully customizable online forms for Annual Compliance Questionnaire, Code of Ethics, Registration Renewal Invoices, Attestations and Certifications
  • Easy to use user interface
  • Real time capture and reporting of submitted answers
  • Comprehensive and easy-to-use reporting
  • Red-flagging and email notification of answers requiring additional review

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