HOW WE CAN HELP
Clients, including 200 enterprise clients, comprising the nation’s top financial services firms
End users in broker-dealers, insurance companies and brokers
Active licenses and registrations managed
Sales campaigns and marketing pieces submitted for compliance review
State Licensing, Appointment, CE and Registration Rules, Maintained by RegEd’s Regulatory Affairs Team
WHO WE SERVE
RegEd serves more than 200 enterprise clients, comprising the nation’s largest firms in financial services and beyond.
Manage compliance with State DOI requirements, licensing and appointments transactions, continuing education and more.
Manage FINRA compliance, conflicts of interest, training and more for broker-dealers, investment advisers and other securities firms.
Identify highly effective and cost-efficient strategies to manage compliance for banks, credit unions and other financial institutions.
“With RegEd our technology will deliver the resources and capabilities to enable the continued success of our business. RegEd was selected because they have the most comprehensive solution to address our broad spectrum of compliance requirements.”
– Chief Compliance Officer, Tier-1 Broker-Dealer
Thought leadership from industry and RegEd subject matter experts.
WEBINAR: FINRA, SEC and State Securities Enforcement Trends
FINRA, the SEC and state regulators have stepped up enforcement efforts in recent years, resulting in unprecedented sanctions. This panel of compliance and legal experts discuss these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases and examination sweeps that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.
CELENT REPORT: Marketing Compliance in the Financial Services Industry
This report, authored by Neil Katkov, PhD, Head of Risk & Compliance at Celent, provides an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance.
RESOURCE CENTER: SEC’s Modernized Marketing Rule
RegEd has compiled resources on the new marketing rule, its impact on the industry, and how firms can prepare so that investment advisers can reduce non-compliance risk while growing their business.
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.