July 2026

Best Practices for Streamlining Your Annual Registration Renewal Process

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. With each 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 time that could be spent […]

RegEd Unveils AI-Powered Regulatory Intelligence for Branch Inspections

Branch Examiner AssistantSM, a new embedded capability powered by Eddie AI, delivers real-time regulatory guidance, firm-specific policy alignment, and faster, more confident examinations RegEd, the leading provider of compliance solutions for financial services firms, today announced a major new AI-powered enhancement to its Branch Audit Management solution, designed to help broker-dealers conduct more efficient, consistent, and confident branch examinations. Branch Examiner Assistant is available as part of the July 2026 release. Embedded directly within the branch inspection workflow, the new feature brings real-time regulatory intelligence to examiners at the moment it is needed most. By instantly surfacing relevant FINRA and SEC rules and mapping them directly to specific inspection questions and module context, the enhancement eliminates manual research and removes […]

Insurance Regulatory Roundup | June-July 2026

June continued the high-volume, multi-dimensional pace that has defined insurance regulation all year, and early-July activity confirms the workload is not slowing heading into the second half of 2026. At the state level, a growing number of jurisdictions moved on licensing fees, adjuster requirements, and line-of-business mandates, while a discernible trend toward higher licensing and continuing education provider fees began to take shape. On the federal side, CMS remained the dominant driver of operational compliance activity, but Treasury, OFAC, PBGC, and FinCEN each surfaced developments with direct implications for insurers’ reporting, tax, and anti-money laundering functions. And the annuity best […]

Securities Regulatory Roundup | June-July 2026

June reinforced the securities regulatory themes that have defined 2026: modernization, deregulation, and an increasingly assertive posture toward emerging market structures and investor protection. The SEC advanced its deregulatory agenda while sharpening its focus on investment adviser conduct; FINRA’s Board of Governors pressed forward on supervision modernization and continuing education reforms; and the NFA proposed meaningful revisions to its branch office supervision rules. Early-July activity carried these threads forward and added new ones — including reduced FINRA qualification exam retake waiting periods, expanded trade reporting hours moving the industry toward near-continuous operations, a new SEC enforcement focus on retail fraud, […]

RegEd Named to Selling Power Magazine’s 60 Best Companies to Sell For 2026 List

Recognition highlights RegEd’s investment in its sales organization, culture of continuous improvement, and commitment to delivering value for clients across the financial services and insurance industries RegEd, the market-leading provider of RegTech enterprise solutions for the financial services and insurance industries, today announced it has been included on Selling Power’s 60 Best Companies to Sell For 2026 list. The annual ranking recognizes organizations that have built exceptional environments for sales professionals to grow, thrive, and deliver measurable impact for their customers. Inclusion on the 60 Best Companies to Sell For list reflects RegEd’s sustained investment in its people, processes, and […]