What broker-dealers should do now to update Outside Business Activities (OBA) and Private Securities Transactions (PST) disclosures, risk assessments, supervisory workflows and Form U4 processes The Securities and Exchange Commission approved FINRA Rule 3290, Outside Activities Requirements, on September 15, 2026. The new rule will replace FINRA Rules 3270 and 3280 with a consolidated framework governing outside activities and outside securities transactions. FINRA will announce the rule’s effective date separately in a Regulatory Notice. Although the rule is intended to reduce unnecessary compliance burdens, implementation will require more than a policy update. Broker-dealers will need to reconsider how they collect […]
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Insurance Regulatory Roundup | August-September 2026
August and the beginning of September sustained the high volume and operational complexity that have characterized insurance regulation throughout 2026. Artificial intelligence oversight moved closer to examination readiness, catastrophe-related orders required repeated updates to cancellation, nonrenewal, claims, and policy-administration processes, and states continued expanding requirements governing pharmacy benefit managers, health coverage, electronic claims, and financial reporting. For carriers, producers, and compliance teams, the activity points to a growing implementation challenge. Regulatory obligations increasingly cross business functions and require coordinated changes to procedures, systems, contracts, communications, training, and recurring compliance tasks. Meanwhile, a significant cluster of state and federal requirements scheduled […]
Continue readingMore TagSecurities Regulatory Roundup | August-September 2026
August and early September brought renewed focus to several of the most consequential securities compliance themes of 2026: fraud prevention, cybersecurity, anti-money laundering enforcement, digital assets, and the continued modernization of supervisory and operational requirements. FINRA proposed broader tools for responding to suspected financial exploitation, issued new cybersecurity guidance and a targeted technology alert, and imposed a significant AML fine. At the same time, the SEC and CFTC continued to shape the regulatory agenda for digital assets, market structure, reporting, and intermediary oversight. For broker-dealers, investment advisers, and other regulated firms, the throughline is increasingly operational. Regulators are examining whether […]
Continue readingMore TagRegEd to Showcase Industry-Leading Producer Management and Compliance Technology at InsureTech Connect 2026
RegEd will demonstrate how insurers and distributors can automate producer compliance, accelerate speed to market and achieve real-time clear-to-sell validation. RegEd, a leading provider of compliance and producer management technology solutions to the insurance and financial services industry, today announced that it will serve as a Supporting-Level Sponsor and exhibitor at ITC Vegas 2026, taking place September 29 through October 1 at Mandalay Bay in Las Vegas. Attendees can visit RegEd at Booth #3243 to explore technology designed to modernize producer management, streamline compliance operations and accelerate compliant business placement. ITC Vegas brings together insurers, insurtechs, investors, agents, brokers and […]
Continue readingMore TagRegEd Recognized in InvestmentNews 5-Star Technology Awards for AI-Powered Branch Examiner Assistant
Branch Examiner Assistant, powered by Eddie, delivers contextual regulatory guidance and firm-specific policy intelligence directly within the branch examination workflow RegEd, a leading provider of compliance technology solutions for the financial services industry, today announced its inclusion in the 2026 InvestmentNews 5-Star Technology Awards for Branch Examiner Assistant, an AI-powered capability embedded within RegEd’s Branch Audit Management solution. This marks the second consecutive year RegEd has received the distinction. In 2025, RegEd was recognized for its AI-Powered Advertising Review solution, which applies intelligent automation to help firms identify compliance risks, streamline reviews and maintain consistent oversight across marketing materials and […]
Continue readingMore TagDon’t Fall Behind on Your Branch Audit Compliance Requirements
Stay On Track for Success Now is the perfect time to assess where your branch audit program stands headed into the remainder of this calendar year. As branch office inspection requirements and regulations continue to evolve, staying ahead of the curve is more crucial now than ever. The best way to ensure you finish the year strong is to take proactive steps now to address any potential gaps and complete all required audits, to help avoid non-compliance risk, potential fines or damage to your firm’s reputation. This post will highlight some best practices for branch audit program evaluation. We’ll also […]
Continue readingMore TagRegistration Renewal Compliance: How Year-Round Licensing Management Reduces Risk and Last-Minute Scrambling
Registration Renewals Are Not a Once-a-Year Problem For many financial services firms, registration renewal season feels like a race against the clock. Compliance teams scramble to verify registration records, licensing teams chase down representatives and managers for approvals, and leadership works to ensure no critical registrations slip through the cracks. As firms continue to expand across jurisdictions, product lines, and distribution channels, managing CRD and IARD registrations has become increasingly complex. Licensing teams must maintain accurate registration information, track representative activity, coordinate approvals, and ensure compliance with evolving regulatory requirements. Without a structured, year-round approach, renewal season can quickly become an operational burden. The strongest renewal […]
Continue readingMore TagNew FINRA Transaction Completeness Check Helps Firms Reduce Compliance Risk and Improve Submission Accuracy
Financial services firms face increasing pressure to ensure regulatory filings are accurate, complete, and submitted on time. Even minor data issues can lead to rejected transactions, operational delays, and increased administrative burden. To help firms proactively identify data quality issues before submission, RegEd’s Xchange is launching the FINRA Transaction Completeness Check, a powerful new capability designed to validate securities transaction data prior to submission to FINRA. Available to all Securities Xchange clients, this enhancement helps firms strengthen their compliance processes, reduce transaction rejections, and streamline securities operations, all at no additional cost. Proactively Identify FINRA Transaction Issues Before Submission The FINRA Transaction Completeness […]
Continue readingMore TagSecurities Regulatory Roundup | July-August 2026
July carried forward the defining securities regulatory themes of 2026: modernization of supervision, a steady move away from prescriptive rules toward risk-based frameworks, and the rapid migration of artificial intelligence from a technology concern into a core compliance obligation. FINRA advanced proposals that would reshape how firms supervise communications and administer qualification exams, the SEC’s clock continued to run on a pending rule that would consolidate outside activity requirements, and a newly effective category of retirement account began surfacing questions that reach into both broker-dealer and investment adviser programs. For broker-dealers and investment advisers alike, the throughline is consistent: regulators […]
Continue readingMore TagInsurance Regulatory Roundup | July-August 2026
July sustained the high-volume, multi-dimensional pace that has defined insurance regulation throughout 2026. Artificial intelligence continued its move into insurance oversight as additional jurisdictions issued governance guidance; states advanced continuing education changes in both directions, adding new pathways and eliminating longstanding requirements; and the wave of health-coverage mandates, catastrophe-driven property measures, and consumer-protection and market-conduct activity showed no sign of slowing. For carriers, agencies, and compliance teams, the picture remains one of continuous, cross-functional change spanning claims, underwriting, licensing, coverage design, and market conduct simultaneously. Meanwhile, the annuity best interest training requirement — now in place across 49 states — […]
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