Rep OnBoarding

Automated Form U4 Process

Registrar  is an on-line wizard that guides representatives through the form U4 process. The Form U4 is the Uniform Application for Securities Industry Registration or Transfer required by FINRA for Representatives, and investment advisers of broker dealers.

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Streamlines the form U4 process for both representatives and the Back Office.

  • Completed Form U4’s Approved by the Back Office
  • Electronically Transmitted to FINRA.
  • Makes FORM U4 Process Easy
  • Great Recruiting Tool
  • Gets Reps Producing for Your Firm Fast.

U4 Amendments can be processed through CAESAR Registrar, enabling reps to easily provide updates on demographic changes, Outside Business Activity, FINRA Licenses, Jurisdiction Registrations and Exam Requests.

Registrar is a cloud-based solution provided by Financial Database Services and is priced appropriately.

Options are available to electronically schedule fingerprints, providing your reps one central location to complete their registration with your organization.

Streamlined Processing

CAESAR Registrar cuts down the registration timeline by days or even weeks via the electronic submission of validated data between the Reps, Back Office, and FINRA. The ease of form filling inherent within this solution creates legible entries, enabling the Back Office to conduct rep reviews more effectively. Your unique registration workflow can be integrated into CAESAR Registrar, with data review and workflow stop points defined for OSJs, Compliance and the Back Office.

Annual Compliance Questionnaire

CAESAR Registrar can be utilized to automate and track your Annual Compliance Questionnaire, greatly reducing manual administrative efforts by promoting quality responses and preventing inconsistencies in forms. The Back Office can notify reps when forms need to be completed, track who has answered and focus only on exceptions.

Create Custom Form Filling Applications

Although CAESAR Registrar was initially developed for the Form U4 Uniform Application for Securities Industry Registration process, CAESAR Registrar can be a customized as a form filling wizard for any need you may have within your organization. Set up stop points to review responses, and auto-generate emails to guide users through next stages. Auto-populate forms so they are legible, and archived in PDF format for easy retrieval. If you have the need for an agile form filling technology solution, CAESAR Registrar is it.

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