May 2026

Insurance Regulatory Roundup

If there was a single theme in April’s insurance regulatory activity, it was acceleration. State-level legislative output surged 82% from March, with 155 bills enacted compared to 85 the prior month. But the substance of what regulators and legislators are focused on was just as notable as the volume. A few important trends are shaping the road ahead. First, artificial intelligence is moving from a topic of general industry conversation into the regulatory apparatus itself. Washington became the first state to require AI disclosure in insurance product filings, a development that other states are almost certainly watching. Second, regulators are […]

Securities Regulatory Roundup

On December 16, 2025, the SEC’s Division of Examinations released a new Risk April was a month of consequential regulatory activity across the securities landscape. Several of the month’s most significant developments share a common thread: regulators are pushing for greater transparency, modernized frameworks, and more effective risk management. The SEC moved to clarify expanded execution quality reporting obligations. FINRA overhauled decades-old margin rules and began digitizing its examination request process. The CFTC sharpened its enforcement posture around prediction markets. And FinCEN proposed what may be the most fundamental reform to Bank Secrecy Act compliance in a generation. At the […]

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 of FINRA Rule 3290 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 […]

RegEd to Showcase Compliance and Regulatory Technology Solutions at 2026 FINRA Annual Conference

RegEd, the leading provider of compliance and regulatory technology solutions for broker-dealers and financial services firms, today announced its participation in the FINRA Annual Conference, taking place May 12–14, 2026, in Washington, DC. RegEd will be exhibiting at booth #35, where attendees can explore the company’s latest innovations designed to modernize and streamline compliance operations. The FINRA Annual Conference is the industry’s premier event, bringing together regulators, compliance professionals, and financial services leaders to discuss today’s most pressing regulatory challenges and emerging trends. With over 30 sessions on trending topics, attendees gain practical guidance and insights across key areas such as regulatory compliance, […]