July carried forward the defining securities regulatory themes of 2026: modernization of supervision, a steady move away from prescriptive rules toward risk-based frameworks, and the rapid migration of artificial intelligence from a technology concern into a core compliance obligation. FINRA advanced proposals that would reshape how firms supervise communications and administer qualification exams, the SEC’s clock continued to run on a pending rule that would consolidate outside activity requirements, and a newly effective category of retirement account began surfacing questions that reach into both broker-dealer and investment adviser programs. For broker-dealers and investment advisers alike, the throughline is consistent: regulators […]
Continue readingMore TagInsurance Regulatory Roundup | July-August 2026
July sustained the high-volume, multi-dimensional pace that has defined insurance regulation throughout 2026. Artificial intelligence continued its move into insurance oversight as additional jurisdictions issued governance guidance; states advanced continuing education changes in both directions, adding new pathways and eliminating longstanding requirements; and the wave of health-coverage mandates, catastrophe-driven property measures, and consumer-protection and market-conduct activity showed no sign of slowing. For carriers, agencies, and compliance teams, the picture remains one of continuous, cross-functional change spanning claims, underwriting, licensing, coverage design, and market conduct simultaneously. Meanwhile, the annuity best interest training requirement — now in place across 49 states — […]
Continue readingMore TagBest Practices for Streamlining Your Annual Registration Renewal Process
For financial services firms, annual broker-dealer‑ and investment adviser registration renewals are more than a regulatory requirement; they’re a critical operational moment that directly affects business continuity, revenue protection, and client trust. With each renewal cycle, the stakes remain high. A single missed deadline or filing error can trigger avoidable fees, licensing interruptions, regulatory scrutiny, and unnecessary strain on already ‑stretched compliance teams. FINRA’s latest BD and IA Renewal Programs highlight a reality the industry knows well: even minor oversights can create outsized consequences. Yet many organizations still rely on manual, fragmented processes like spreadsheets, email threads, and adhoc follow-ups. These manual processes introduce risk, reduce visibility, and consume valuable time that could be spent […]
Continue readingMore TagRegEd Unveils AI-Powered Regulatory Intelligence for Branch Inspections
Branch Examiner AssistantSM, a new embedded capability powered by Eddie AI, delivers real-time regulatory guidance, firm-specific policy alignment, and faster, more confident examinations RegEd, the leading provider of compliance solutions for financial services firms, today announced a major new AI-powered enhancement to its Branch Audit Management solution, designed to help broker-dealers conduct more efficient, consistent, and confident branch examinations. Branch Examiner Assistant is available as part of the July 2026 release. Embedded directly within the branch inspection workflow, the new feature brings real-time regulatory intelligence to examiners at the moment it is needed most. By instantly surfacing relevant FINRA and SEC rules and mapping them directly to specific inspection questions and module context, the enhancement eliminates manual research and removes […]
Continue readingMore TagInsurance Regulatory Roundup | June-July 2026
June continued the high-volume, multi-dimensional pace that has defined insurance regulation all year, and early-July activity confirms the workload is not slowing heading into the second half of 2026. At the state level, a growing number of jurisdictions moved on licensing fees, adjuster requirements, and line-of-business mandates, while a discernible trend toward higher licensing and continuing education provider fees began to take shape. On the federal side, CMS remained the dominant driver of operational compliance activity, but Treasury, OFAC, PBGC, and FinCEN each surfaced developments with direct implications for insurers’ reporting, tax, and anti-money laundering functions. And the annuity best […]
Continue readingMore TagSecurities Regulatory Roundup | June-July 2026
June reinforced the securities regulatory themes that have defined 2026: modernization, deregulation, and an increasingly assertive posture toward emerging market structures and investor protection. The SEC advanced its deregulatory agenda while sharpening its focus on investment adviser conduct; FINRA’s Board of Governors pressed forward on supervision modernization and continuing education reforms; and the NFA proposed meaningful revisions to its branch office supervision rules. Early-July activity carried these threads forward and added new ones — including reduced FINRA qualification exam retake waiting periods, expanded trade reporting hours moving the industry toward near-continuous operations, a new SEC enforcement focus on retail fraud, […]
Continue readingMore TagRegEd Named to Selling Power Magazine’s 60 Best Companies to Sell For 2026 List
Recognition highlights RegEd’s investment in its sales organization, culture of continuous improvement, and commitment to delivering value for clients across the financial services and insurance industries RegEd, the market-leading provider of RegTech enterprise solutions for the financial services and insurance industries, today announced it has been included on Selling Power’s 60 Best Companies to Sell For 2026 list. The annual ranking recognizes organizations that have built exceptional environments for sales professionals to grow, thrive, and deliver measurable impact for their customers. Inclusion on the 60 Best Companies to Sell For list reflects RegEd’s sustained investment in its people, processes, and […]
Continue readingMore TagRegEd Expands AI-Powered Advertising Review to Support SEC Compliance for Investment Advisers
Powered by RegEd’s Eddie AI Compliance Assistant, expanded coverage adds the SEC Marketing Rule and related investment adviser requirements to existing FINRA support — delivering the industry’s most comprehensive scope of securities advertising compliance. RegEd, the leading provider of compliance solutions for financial services firms, today announced the expansion of its AI Compliance Assistant, powered by Eddie, to support investment adviser advertising compliance within its Advertising Review solution. The expansion extends Eddie’s existing AI-driven coverage across broker-dealer and FINRA frameworks to evaluate investment adviser materials against SEC Rule 206(4)-1, the SEC’s modernized Marketing Rule — giving firms, particularly dual registrants, […]
Continue readingMore TagSecurities Regulatory Roundup | May-June 2026
May was a month defined by institutional transition, regulatory modernization, and an increasingly assertive posture from regulators navigating emerging market structures. At the SEC, a leadership change on the horizon raised practical questions about agency capacity, while public remarks from the Chairman and Commissioners reinforced a clear pivot toward innovation-friendly regulation and streamlined disclosure. FINRA continued its modernization agenda through its FINRA Forward initiative, publishing a year-in-review report and new margin guidance while signaling a more data-driven, transparent examination approach. The CFTC escalated its jurisdictional fight over prediction markets into active litigation against eight states — and moved aggressively in early June to establish a regulatory […]
Continue readingMore TagInsurance Regulatory Roundup | May-June 2026
May’s insurance regulatory landscape was marked by the continued unusually heavy concentration of activity early in the legislative cycle with substantive activity across multiple fronts — and early June data confirms the pace is not slowing down. At the state level, legislators continued expanding adjuster licensing and continuing education requirements, with Connecticut granting its Insurance Commissioner new authority over adjuster CE and South Carolina enacting a broad package of adjuster-related reforms. Across lines of business, states took action on AI oversight in health insurance claims, property and casualty transparency, financial exploitation protections, workers’ compensation, and wildfire-related disclosure obligations. On the federal side, significant final […]
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