Annual Compliance Questionnaires

Host, manage and track your representatives' annual compliance questionnaires.

Collect Better Data

Create custom surveys or utilize pre-built Standard Forms to collect and analyze data regarding your representatives’ annual compliance activities. More than just a database for warehousing information, our annual compliance questionnaires allow your firm to quickly identify gaps in data and remediate issues in real-time through an integrated system of checks and balances. Digital attestations are additionally available throughout the system to verify that the information disclosed is both timely and accurate.

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Rep/Producer Summary

A version of our Standard forms is the Rep/Producer Summary which allows your representatives or producers to simply review, update and confirm their stored personal identifying information, such as employment history, residential history and jurisdictions registrations on their upcoming compliance questionnaires. This process saves your users time by eliminating the need to re-enter this information year-after-year.

Disclosure Integration

Take your annual compliance questionnaires to the next level by integrating with our disclosure tracking system to create dynamic surveys based on live system data. Watch in real-time as the system automatically pulls your representatives’ annual disclosures into a custom ACQ for each of your representatives to personally review and attest to. This actionable survey ensures that data is accurate, integrated and consistent across the system, while also eliminating duplicate work.  

Defensible Reporting

Our philosophy is that the data you collect is your data. That’s why we built a reporting dashboard that gives you the power to view everything from firm-wide analytics to individual survey responses. You also have the option to filter responses based on different criteria, allowing you to seamlessly compare and analyze data segments to FINRA’s Web CRD. Our survey software lets you export reports into Excel or PDF.

Reliability and Flexibility

We have the tools and functionality you need to quickly build-out questionnaires.

Standard Forms

Host all of your FINRA required information in one system, through the use of Standard Forms. Simply put, Standard Forms mimic FINRA’s U4 Form to create a uniform process for collecting, organizing and validating important information about your producers and representatives. Through the use of Smart Data, your staff benefits having to enter data to the system only once, giving them the option to either update or re-attest to that same questionnaire the following year.

Custom Surveys

Want to create your own custom surveys to work in tandem with our Standard Forms? Not a problem. Quickly build, edit and assign online surveys using our intuitive web-based tool, Questionnaire Builder. With over a dozen question types to choose from, we make it easy to gather and verify your own firm-specific information. Survey answers can be set-up to flag suspicious activities, automatically prompting an email to your compliance department.

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Disclosure Tracking

Track Outside Business Activities, Gifts, Entertainment, Political Contributions and more!

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Annual Compliance Meeting

Cut costs, improve productivity and accelerate learning with our online meeting technology.

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Firm Element Training

Deliver a Needs Analysis Survey and choose from over 450 Firm Element courses.

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