5 SEC Examination Priorities for 2022

The SEC’s Division of Examinations’ exam priorities for fiscal year 2022 include standards of conduct as well as issues related to technology and investment products. “The Division will prioritize examinations of several significant focus areas that pose unique or emerging risks to investors or the markets, as well as examinations of core and perennial risk areas. Their importance to investors and the markets, coupled with the seriousness and frequency of observations in prior years’ examinations, […]

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Preparing your 2022 Firm Element Training Program – Step Two: the Written Training Plan

Adam Schaub Vice President, Platform Product Management RegEd, Inc. FINRA Rule 1240 requires each of its member firms to conduct an annual evaluation and prioritization of its registered persons’ training needs, develop a written training plan, and implement and track completion of that plan.  Our first article covered the Needs Analysis, and this article covers the second step, which is to develop your firm’s written training plan.  Similar to our guidance on the Needs Analysis, if […]

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Preparing your 2022 Firm Element Training Program – Step One: the Needs Analysis

Adam Schaub Vice President, Platform Product Management RegEd, Inc. It is that time of year again when firms have wrapped up their 2021 CE programs and are ready to reflect and plan their 2022 programs.  For many firms, this entails dusting off the 2021 Needs Analysis and Written Training Plan, and adjusting for the current year.  If planning Firm Element is a new task for you, it is recommended that you create a framework that […]

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RegEd to Exhibit Industry-Leading Adjuster Licensing Solution at Self-Insurance Institute of America Spring Forum

RegEd will exhibit its Xchange for Adjuster Licensing and Enterprise Xchange Contracting, Licensing, and Registration solutions at the Self-Insurance Institute of America (SIIA) Spring Forum in Orlando, Fla., on March 30-April 1. The SIIA Spring Forum is billed as the largest event for senior-level self-insurance industry professionals in the first half of 2022. It will include educational sessions, group discussions, association task force reports, and a “focus group” participation opportunity. RegEd helps self-insurance companies and […]

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RegEd’s Advertising Compliance Solution Tops 4 Million Submissions

Adoption by seven of the top 10 broker-dealers and dozens of other financial services firms drives RegEd’s Enterprise Advertising Review past new milestone Significant investment in R&D and product innovation for RegEd’s market-leading Enterprise Advertising Review has resulted in the most rapid adoption by leading financial services firms in the solution’s history. Total submissions increased by more than 35% in 2021, enabling the ad compliance solution to recently surpass 4 million submissions since its inception […]

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RegEd to Exhibit Next-Generation Agency Contracting Solution at 2022 LIMRA Distribution Conference

Xchange Agency Contracting delivers a single solution for all distribution channels, enabling rapid onboarding of agencies and agents to speed time to market RegEd will present its next-generation Xchange Agency Contracting solution at the 2022 LIMRA Distribution Conference for Financial Services. Developed with input from some of the nation’s largest insurance companies, Xchange Agency Contracting significantly reduces the time to contract and appoint producers while providing a streamlined user experience. “To gain competitive advantage in […]

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