ComplianceGuardian RepTracker

Real-time access to real-time data

Collecting and maintaining registration and licensing information for registered representatives is vital to the success of compliance programs. Isn’t it time you had access to the kind of real-time data you need to make informed compliance decisions?

NRS’ ComplianceGuardian Registration and Licensing (RepTracker) solution allows compliance managers to:

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Review and submit U4/NRF filings on behalf of reps directly to FINRA’s CRD

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Run analytical reports for rep CRD and custom-defined data

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Extract data for users, hierarchy and CRD

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Comply with FINRA Rule 3270 and Supervisory Control Rules by reviewing and tracking submissions

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Monitor rep activity with notifications

Access registration and licensing for your reps

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Choose NRS and let our experts become your experts

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We understand your challenges.

With a team of former compliance professionals and regulators, we know what it takes to build a culture of compliance.
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We have our finger on the pulse.

We provide continuous insight and applicable best practice solutions to tackle timely regulatory issues with dozens of live and on-demand events throughout the year.
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We are your partner.

For more than 30 years we have been the nation’s leader in compliance and registration products and services for financial services firms, helping guide our clients’ compliance strategy, minimize risk and lower costs.

Frequently Asked Questions

How does NRS’ ComplianceGuardian Registration and Licensing (RepTracker) support compliance managers?
How does NRS’ ComplianceGuardian Registration and Licensing (RepTracker) support reps and associated individuals?

Schedule a demo!

Find out how NRS solutions can help your firm implement effective policies and procedures to safeguard against noncompliance.