February 2026

SEC 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 […]

RegEd 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 […]

OBA 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 […]

RegEd’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 […]

Transform Annual Registration Renewals Into a Strategic Advantage

For financial services firms, annual broker-dealer and investment adviser registration renewals are more than a regulatory requirement; they’re a critical operational moment that directly affects business continuity, revenue protection, and client trust. As firms prepare for the 2026 renewal cycle, the stakes remain high. A single missed deadline or filing error can trigger avoidable fees, licensing interruptions, regulatory scrutiny, and unnecessary strain on already stretched compliance teams. FINRA’s latest BD and IA Renewal Programs highlight a reality the industry knows well: even minor oversights can create outsized consequences. Yet many organizations still rely on manual, fragmented processes like spreadsheets, email threads, and adhoc follow-ups. These manual processes introduce risk, reduce visibility, and consume valuable […]