Project Description
Public sector agencies that are responsible for regulating organizations licensed through FINRA rely upon several data sources to manage licensing and to examine Broker Dealers and Investment Advisors. Many agencies faced challenges with managing the workload, which included creating accurate risk-based examination plans and reporting of key metrics. The DOCQNET solution automated all of these tasks. Among other functionalities, it maintains a central repository of organizations and related licenses, and generates an annual Exam Plan that is FINRA and NASAA compliant.