November 2025

Elevating Oversight: Tracking Conditions for High-Risk Outside Business Activities

The financial industry is facing a shift in how firms manage and monitor Outside Business Activities (OBAs), especially in light of the proposed consolidation of FINRA’s OBA and PST (Private Securities Transactions) rules. While much has been discussed about the structural and supervisory changes this consolidation may bring, one aspect that’s been less explored, but is drawing increasing scrutiny, is the monitoring of conditions placed on approved OBAs. Conditional Approvals: A Growing Focus of FINRA Inquiries Anecdotal evidence suggests that FINRA is beginning to ask firms a pointed question: If you approve an OBA with conditions, how are you ensuring […]

Key Takeaways from the 2025 NSCP National Conference

AI Governance, Conflict Management, Marketing Compliance & the Next Era of Supervision The 2025 NSCP National Conference made one thing clear: the regulatory landscape isn’t simply evolving – it is accelerating. Compliance leaders across the industry gathered to discuss how rapid advances in technology, including artificial intelligence, are reshaping business operations, regulatory expectations, and the core workflows of modern compliance teams. Where past years focused on adoption and awareness, this year shifted decisively toward execution, governance, and demonstrable controls in place to ensure compliance, such as ‘human in the loop’ for AI. Regulators now expect firms to not only use […]

RegEd Introduces Eddie: The New Face of Its Ongoing Innovation in AI and Advanced Automation for Compliance and Producer Management

Already at work across the RegEd platform, Eddie brings together automation and applied AI to streamline compliance, reduce risk and accelerate speed to market. RegEd today introduced Eddie, a virtual compliance assistant and personification of the company’s current and future innovation in AI and automation. As compliance requirements grow more complex and interconnected, firms are seeking better ways to streamline operations, reduce risk and improve oversight. Eddie brings together a growing set of intelligent capabilities that are already reshaping how firms manage compliance and producer operations. By weaving intelligence and automation into everyday workflows, from licensing and onboarding to advertising […]

Year-End Reminder: Ensure IAR CE Compliance Before the CRD/IARD Renewal Shutdown

As the calendar year draws to a close, it’s essential for Investment Adviser Representatives (IARs) and their firms to take a proactive approach toward meeting continuing education (CE) obligations. With the annual FINRA CRD/IARD Renewal Shutdown scheduled to begin on December 26, 2025, and more states than ever enforcing IAR CE requirements – including Illinois, which goes live in 2026 – compliance teams face growing complexity and shrinking timelines to ensure every IAR remains in good standing. Failing to complete CE requirements before the shutdown can trigger serious consequences – from administrative terminations and client reassignments to lost compensation eligibility […]