Record attendance and new capabilities powered by Eddie highlight RegEd’s annual client conference in Fort Lauderdale, FL RegEd, the leading provider of compliance solutions for financial services firms, recently hosted its 13th annual client conference, RegEd Engage, held April 15–17, 2026 at the Marriott Harbor Beach Resort in Fort Lauderdale, Florida. RegEd Engage brought together a record number of attendees, including compliance and operations professionals from many of the nation’s leading financial services firms, for three days of collaboration, education, and strategic insight. The conference is uniquely shaped by direct client input, ensuring sessions focus on the most pressing regulatory challenges, operational priorities, and opportunities […]
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RegEd to Highlight Clear-to-Sell Verification and Producer Enablement at the 2026 IRI Annual Conference
RegEd subject matter experts will present a session on eliminating licensing, appointment, and eligibility friction across the annuity distribution chain RegEd, a leading provider of compliance and regulatory technology solutions for financial services firms, today announced its participation in the 2026 IRI Annual Conference, taking place April 22–24 at the JW Marriott Tampa. RegEd will be exhibiting at Booth #18, where attendees can learn how the company is helping firms streamline compliance processes and modernize annuity distribution operations. As annuity distribution becomes increasingly complex, firms are under pressure to improve efficiency while maintaining strict compliance standards. RegEd’s solutions are designed to address these challenges by enabling greater visibility […]
Continue readingMore TagRegEd Expands AI-Powered Advertising Review with the Launch of AI Compliance PreCheck for Broker-Dealers
New pre-review capability, RegEd PreCheckSM powered by Eddie AI, helps broker-dealers identify compliance risk and improve content quality before formal compliance review begins. RegEd, the leading provider of compliance solutions for financial services firms, today announced the launch of AI Compliance PreCheck for Broker-Dealers, a new capability within its AI-Powered Advertising Review solution. By embedding AI-driven compliance intelligence earlier in the advertising content lifecycle, AI Compliance PreCheck enables firms to quickly identify potentially problematic language, validate required disclosures, and receive AI-driven revision suggestions before materials are formally submitted for compliance review. As regulatory expectations continue to evolve and marketing teams move faster across digital channels, broker-dealers face growing pressure to balance speed-to-market with consistent compliance oversight. In this […]
Continue readingMore TagRegEd to Exhibit Adjuster Licensing and CE Solutions at the PLRB Claims Conference & Insurance Services Expo
RegEd, a leading provider of compliance and regulatory technology solutions for the financial services industry, today announced it will exhibit at the PLRB Claims Conference & Insurance Services Expo, taking place March 22–25, 2026 in National Harbor, Maryland. Attendees can visit RegEd at Booth #435 to learn how its integrated compliance technology platform helps insurers strengthen regulatory oversight, streamline operational processes, and reduce compliance risk. The PLRB Claims Conference is one of the insurance industry’s largest educational events, bringing together claims professionals, legal experts, and service providers to explore emerging risks, regulatory developments, and innovations shaping the future of insurance operations. At the […]
Continue readingMore TagRegEd to Exhibit at the 2026 Investment Adviser Compliance Conference Hosted by the Investment Adviser Association
RegEd, a leading provider of compliance technology solutions for financial services firms, announced today that it will be a proud exhibitor at the Investment Adviser Compliance Conference, hosted by the Investment Adviser Association, taking place March 18–20, 2026, in Washington, D.C. The annual conference brings together hundreds of compliance professionals, legal experts, regulators, and industry leaders from across the investment adviser community to discuss the evolving regulatory landscape and share practical strategies for maintaining effective compliance programs. The event features sessions led by SEC officials, industry professionals, and legal experts, offering attendees the latest insights on regulatory developments and compliance best practices. At the conference, RegEd will exhibit at booth #2 and showcase its […]
Continue readingMore TagIntroducing Submission Search: Faster, Smarter, Audit-Ready Insight Across All OBA Requests
In today’s environment of higher scrutiny, tighter timelines, and growing supervisory obligations and expectations, firms need better visibility and faster access to the full story behind both recent and historical OBA requests. That’s why RegEd is introducing Submission Search – a powerful new way to search across all OBA submissions. Built directly from our client feedback, it’s one of several major enhancements on our product roadmap designed to strengthen oversight, improve productivity, and support repeatable, defensible compliance decisions. The Industry Problem: Compliance Teams Need Answers Fast Whether responding to a regulatory inquiry, reviewing potential conflicts, or ensuring consistency in decision-making, compliance teams face a common set of challenges: RegEd’s OBA solution provides a centralized way to […]
Continue readingMore TagSEC Approves FINRA Rule 3220 Amendments: What Firms Need to Do Now
The U.S. Securities and Exchange Commission (SEC) has officially approved proposed amendments to FINRA Rule 3220 (Influencing or Rewarding Employees of Others), modernizing the long-standing Gifts Rule and introducing greater clarity, flexibility, and consistency across the industry. The amendments increase the annual gift limit, codify long-standing interpretive guidance, and formalize FINRA’s authority to grant exemptive relief. FINRA will announce the effective date in a Regulatory Notice. Why This Matters for Compliance Technology As the annual gift limit increases and supervisory expectations expand, firms will need stronger systems for tracking, aggregating, and documenting gift activity. Manual processes become more prone to risk under the new $300 […]
Continue readingMore TagRegEd to Exhibit at the 2026 ARM Annual Conference in Sarasota
RegEd, the leading provider of licensing, registration, and compliance technology solutions for the financial services industry, today announced its participation in the 2026 Association of Registration Management (ARM) Annual Conference, taking place March 2–4, 2026, in Sarasota, Florida. The ARM Annual Conference brings together registration management professionals, regulators, and industry leaders to explore evolving regulatory expectations, operational best practices, and technology innovations impacting broker-dealers, insurance carriers, and financial services firms. The conference offers valuable education and networking opportunities, with insights from regulators and subject matter experts across the securities and insurance landscape. At the event, RegEd will showcase its industry-leading Enterprise Xchange Licensing and Registration solution and Managed Services, designed […]
Continue readingMore TagOBA and PST Rules Could Be Consolidated: What Does It Mean for the Industry?
The Financial Industry Regulatory Authority (FINRA) is considering a significant potential change in how it governs certain areas of conflicts of interest by consolidating its rules on Outside Business Activities (OBA) and Private Securities Transactions (PST). This proposal could bring much-needed clarity and efficiency to compliance processes for member firms. Current Landscape: OBA and PST Rules At present, OBAs and PSTs are governed separately under FINRA Rules 3270 and 3280. These rules outline how registered representatives must disclose and seek approval for activities and private securities transactions outside their primary roles with their member firms. While these rules aim to […]
Continue readingMore TagRegEd’s Xchange Alerts Solution Surpasses 300 Million Data Updates, Reinforcing Industry Leadership in Automated Producer Data Reconciliation
The industry’s most trusted solution for rules-based producer data reconciliation continues to scale, helping insurers and distributors reduce NIGOs and maintain accurate, real-time producer data through sustained innovation and adoption. RegEd, the leading provider of producer management solutions for the financial services industry, today announced a new milestone for its market-leading Xchange Alerts solution, which has now processed more than 300 million data updates. This achievement reflects continued growth in adoption and usage of the solution and underscores RegEd’s long-standing leadership in delivering automated, rules-based producer data reconciliation at enterprise scale. Xchange Alerts leverages deep integration with the NIPR Producer Database (“PDB”) to deliver automated […]
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