Jennifer advises FINRA- and SEC-registered broker-dealers on regulatory compliance, registration, and licensing, managing the full lifecycle through FINRA Gateway and Web CRD, including Form U4, U5, BD, BDW, BR, and U6 filings, dual registrations, qualification exam coordination and waivers, fingerprint processing, and annual renewals.
She also manages FINRA entitlement administration, the FINRA Contact System, and annual entitlement and FCS certifications. She has managed multiple simultaneous 50-state registration projects, working directly with state regulators to resolve deficiencies and coordinate nationwide licensing initiatives. Beyond registration, she advises firms on FINRA Rule 4530 reporting, retail communications and advertising review with FINRA’s Advertising Regulation Department, Business Continuity Plans, Continuing Education administration, electronic recordkeeping, and examination support. Prior to her time at CRC Oyster, Jennifer spent [X years] at Modern Regulatory Services, LLC, where she advised broker-dealers from start-ups to established organizations through registration, examinations, regulatory inquiries, and organizational change.
