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FAQs for IAR CE: What to Know About NASAA’s Investment Adviser Representative Continuing Education Model Rule

Several states have adopted and implemented investment adviser representative continuing education (IAR CE) requirements, while many other states continue to join them in implementing these new requirements. Once implemented, Investment adviser representatives have until the compliance date to meet IAR CE requirements if they conduct advisory business in a state that has adopted the North American Securities Administrators Association (NASAA)’s Investment Adviser Representative Continuing Education Model Rule. As an approved IAR CE provider, RegEd answers some of the most common questions that IARs and firms have about these first-time requirements. To see a map of adopted states, visit here. Implementing […]

Key Takeaways from ARM Annual Conference 2025

Our regulatory affairs team was onsite at the ARM Annual Educational Conference 2025 and gathered key insights from the sessions and discussions that took place. The conference brought together industry leaders and experts to discuss the latest developments and best practices in regulatory affairs, focusing on compliance, registration processes, continuing education, and technological advancements. Here’s a look at some of the most important takeaways from the event. Key Changes to FINRA Fees & MFA In November 2024, FINRA approved new fee increases scheduled for 2026, which will impact all registration fees. This includes the introduction of a tiered fee structure […]

RegEd Publishes Report on the Latest Trends in Producer Management and Compliance

Based on a comprehensive survey of the insurance industry, the report reveals that firms continue to struggle with manual processes and effectively integrating their technology RegEd, the market leader in enterprise producer management solutions for the insurance and financial services industry, today announced the release of its latest whitepaper, “Producer Management and Compliance: Insights on Distribution Management Trends, Technology and Opportunities.” The whitepaper summarizes findings from RegEd’s comprehensive industry survey and delivers a clear message: manual processes and fragmented technology continue to hinder the efficiency, compliance, and scalability of producer management across the insurance and financial services sectors. Drawing responses […]

RegEd to Exhibit at the 2025 ARM Annual Conference in New Orleans

RegEd, the leading provider of licensing and registration technology solutions to the financial services industry, is pleased to announce its participation in the upcoming 2025 Association of Registration Management (ARM) Annual Conference. The conference will take place from June 1-4, 2025, in New Orleans, LA. The ARM Annual Conference is renowned for bringing together industry leaders to explore advancements and challenges in registration and licensing functions within the securities and insurance sectors. Attendees can expect in-depth educational sessions featuring key insights from regulators such as FINRA, NFA, NASAA, and other industry experts. At the event, RegEd will showcase its industry-leading […]

Key Takeaways from the FINRA 2025 Annual Conference: Embracing Change and Innovation in Financial Regulation

The FINRA 2025 Annual Conference provided a comprehensive look into the evolving landscape of financial regulation and the ongoing efforts to enhance market integrity, investor protection, and operational efficiency. Several RegEd subject matter experts, including members of our regulatory affairs team, were in attendance, and they made note of these key takeaways from the event. As the financial services industry faces new challenges and opportunities, key discussions from this year’s conference focused on modernizing regulatory practices, enhancing cybersecurity measures, and leveraging innovative technologies like AI. Here are the major insights and takeaways from the event: 1. Modernizing Regulation: Adapting to […]

RegEd Launches RIA Compliance Control Center to Streamline Oversight for Registered Investment Advisers

All-in-one solution centralizes and automates compliance across key regulatory obligations, enabling greater efficiency and risk mitigation for RIAs RegEd, the leading provider of compliance and credentialing solutions for the financial services industry, has announced the launch of the RIA Compliance Control CenterSM, a purpose-built solution that enables registered investment advisers (RIAs) to streamline supervision and enhance oversight across the full spectrum of compliance activities. With increasing regulatory complexity and resource constraints, RIAs face mounting pressure to manage compliance obligations more efficiently while maintaining rigorous oversight. RegEd’s RIA Compliance Control Center empowers firms to meet these challenges head-on with a centralized, […]

RegEd Advances Next-Generation AI Capabilities of Its Industry-Leading Advertising Compliance Review Solution

Version 3.0 of RegEd’s proprietary AI model sets a new industry standard for accuracy, security, and innovation in compliance technology RegEd, the leading provider of compliance solutions for the financial services industry, today announced the release of Version 3.0 of the proprietary AI model that powers its Advertising Review solution. This marks a significant milestone in the evolution of RegEd’s Submission Intelligence suite of capabilities and underscores the company’s leadership in enterprise-grade, AI-enabled compliance technology. Less than a year after being the first to deliver enterprise-ready AI for advertising compliance, RegEd has introduced its third-generation model, setting a new benchmark […]

Insurance Compliance Lifecycle: A Closed-Loop Process to Managing Regulatory Change Successfully

Each year, thousands of regulatory changes are made that could materially affect the insurance industry, and the number is rising. In any given year, more than 40,000 regulations—including legislative bills, administrative rules, bulletins, advisories, alerts, directives, and interpretive guidance—must be vetted to determine if they affect the business of insurance. According to RegEd’s internal research, there were about 2,400 new or revised state regulations enacted or adopted that directly affected the insurance industry in 2013. In 2021, there were over 3,300, an increase of almost 40%. As the number escalates, new regulations themselves are becoming more complex, especially around risk […]

RegEd to Showcase Enterprise Compliance Solutions at 2025 FINRA Annual Conference

Attendees Will Gain Insight Into the Future of Compliance Technology at the Industry’s Premier Regulatory Event RegEd, the leading provider of compliance and regulatory technology solutions for broker-dealers and financial services firms, is pleased to announce its participation in the 2025 FINRA Annual Conference, taking place May 13–15 in Washington, DC. RegEd will exhibit at kiosk #35 in the exhibit hall and host a client reception on Monday, May 12. The FINRA Annual Conference is a cornerstone event for compliance professionals, offering critical updates on regulatory developments and the opportunity to engage directly with FINRA leaders, industry peers, and solution […]

Essential Edge Compliance Outsourcing Services and RegEd Announce Strategic Partnership to Offer End-To-End Outsourced Solution for Branch Exams

First-of-its-kind collaboration between a leading reg-tech enterprise and a third-party consultant will revolutionize the branch exam landscape Essential Edge Compliance Outsourcing Services, LLC (Essential Edge), which provides third-party outsourced compliance services for broker-dealers and registered investment advisers and RegEd, the leading provider of compliance solutions for financial services firms today announced a partnership that will provide an end-to-end outsourced solution for conducting branch exams. Since its inception in 2005, RegEd’s industry-leading Audit Management solution has enabled in-house audit teams to preempt incidents of operational, regulatory, and reputational risks, while streamlining the branch audit process. Using RegEd’s innovative technology solution, firms […]

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