RegEd representatives to lead sessions on producer management, adjuster licensing and AI in compliance RegEd will participate as a Diamond Sponsor and exhibitor at the 2026 SILA National Education Conference, taking place October 25–28 at the Sheraton Grand Chicago Riverwalk in Chicago. The annual conference brings together insurance licensing and securities registration professionals for education, collaboration and networking. Centered on the theme “Windy City Momentum,” this year’s conference will emphasize collaboration and innovation in advancing insurance licensing and securities registration. Attendees will have opportunities to explore regulatory developments, exchange practical insights and connect with peers across the industry. RegEd’s participation will […]
Continue readingMore TagRegEd to Exhibit AI-Powered Compliance Solutions at 2026 NSCP National Conference
RegEd will highlight Eddie and solutions supporting advertising review, branch examinations and other critical compliance processes at Demo Stand #50 RegEd, a provider of regulatory technology solutions to the financial services industry, announced its participation as an exhibitor at the 2026 National Society of Compliance Professionals (NSCP) National Conference, taking place October 25–28 in Orlando, Florida. Attendees are invited to visit Demo Stand #50 to connect with the RegEd team and explore the company’s enterprise compliance solutions. The annual NSCP National Conference is recognized as one of the most comprehensive educational offerings for compliance professionals in the securities industry, with […]
Continue readingMore TagRegEd to Showcase AI-Powered Advertising Review Innovations at the 2026 FINRA Advertising Regulation Conference
Attendees can visit Kiosk #5 to explore technology designed to accelerate advertising review, improve consistency and strengthen compliance oversight RegEd, a leading provider of compliance technology solutions to the financial services industry, today announced that it will exhibit at the 2026 FINRA Advertising Regulation Conference, taking place October 15–16 in Washington, D.C. The conference brings together communications compliance and marketing professionals for discussions of new rules, regulatory priorities, effective practices and emerging technologies. Attendees will also have opportunities to participate in advertising review workshops, attend technology demonstrations and engage with industry peers and FINRA Advertising Regulation Department staff. RegEd will […]
Continue readingMore TagRegEd to Participate in 2026 AICP Annual Conference
RegEd will highlight enterprise compliance solutions that help insurers strengthen oversight, streamline processes and respond effectively to evolving regulatory requirements. RegEd, a leader in compliance management and regulatory technology, is pleased to announce its participation as a Supporter of the 2026 Association of Insurance Compliance Professionals (AICP) Annual Conference, taking place October 10–13 in Louisville, Kentucky. The 2026 AICP Annual Conference will bring together insurance compliance professionals, regulators and industry leaders for four days of education, insights and networking. Centered on the theme “Compliance: Guiding the Future, Grounded in History,” the conference will explore emerging trends and current compliance challenges […]
Continue readingMore Tag’Tis the Season for Gift Compliance: Managing FINRA Rule 3220 Risk
The holidays bring an uptick in generosity – festive gatherings, year-end celebrations, and of course, the tradition of gift giving. But for financial services firms, this season of goodwill can also usher in heightened compliance risk. A single misstep in gifts and gratuities could push firms from “one gift away” to violating FINRA Rule 3220. Fortunately, this risk is entirely preventable. By pairing modern compliance technology with clear policies and strong governance, firms can confidently navigate year-end gifting without fear of financial penalties, sanctions, or damage to client trust. Complying with FINRA Rule 3220 is challenging in the best of times – and even more so during a season marked by increased […]
Continue readingMore TagManaging Pay-to-Play Compliance as Rules Evolve
Political contributions can create significant compliance challenges for registered investment advisory (RIA) firms, particularly when employees or covered associates have connections to government clients or prospective clients. When it comes to politics, investment advisers and their covered associates can be as passionate as any voters. But “pay-to-play” rules prohibit advisers from making some political donations that many other voters could. SEC Rule 206(4)-5 considers it to be unlawful for investment advisers to provide investment advisory services for compensation to a government entity within two years after a contribution to an ‘official’ of the government entity is made by the investment adviser […]
Continue readingMore TagThe New SEC Exam Handbook: What Firms Should Know About Examination Readiness
An SEC examination does not begin when a firm receives its first document request. The ability to respond depends on work already done: keeping filings accurate, maintaining accessible records, understanding where risks arise in the business, and documenting how compliance issues are addressed. On October 1, 2026, the SEC Division of Examinations published The SEC Exam Handbook: A Practical Guide on Process and Engagement. The handbook replaces and expands on the Division’s previous examination brochure, taking registrants through the process from candidate selection to the disposition letter. It does not create new requirements. Instead, it gives firms a more detailed […]
Continue readingMore TagNAIC AI Risk Evaluation Supplement: What Insurers Should Know About the Emerging Examination Framework
Artificial intelligence is becoming embedded across the insurance enterprise, supporting activities ranging from marketing and underwriting to claims, customer service, fraud detection and financial management. As adoption expands, state insurance regulators are moving beyond broad discussions of responsible AI and developing more structured ways to evaluate how insurers identify, govern and control the risks associated with these systems. The National Association of Insurance Commissioners’ draft Artificial Intelligence Risk Evaluation Supplement is an important development in that evolution. Created by the NAIC Big Data and Artificial Intelligence Working Group, the supplement is intended to help regulators identify and assess consumer and […]
Continue readingMore TagRegEd to Sponsor and Exhibit at the 2026 Global RegTech Summit USA
RegTech provider will showcase how Eddie, its AI-powered compliance assistant, helps firms improve efficiency, reduce compliance risk and accelerate speed to market. RegEd, a leading provider of regulatory technology solutions for financial services firms, today announced that it will serve as a Bronze Sponsor and exhibitor at the 2026 Global RegTech Summit USA, being held September 29 at Convene in New York City. Attendees can meet with the RegEd team at Booth 22. The Global RegTech Summit USA brings together compliance, risk management, technology and financial crime prevention leaders to examine evolving regulatory challenges, emerging technology and the future of compliance. The […]
Continue readingMore TagSEC Approves FINRA Rule 3290, Reshaping Outside Activity Compliance
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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