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 TagMonth: August 2026
Securities 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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