RegEd will highlight enterprise compliance solutions that enable insurers to strengthen oversight, streamline processes, and stay ahead of evolving regulatory demands. RegEd, a leader in compliance management and regulatory technology, is pleased to announce that they are a supporting partner and participant in the 2025 Association of Insurance Compliance Professionals (AICP) Annual Conference, to be held October 19-22, 2025, at the Baltimore Waterfront in Baltimore, Maryland. The AICP Annual Conference is the premier event for insurance compliance professionals, regulators, and service providers. Each year, it brings together hundreds of attendees for four days of educational sessions, regulator roundtables, and networking […]
Continue readingMore TagStreamline Your Annual Registration Renewal Process
Every year, financial services firms face the same critical challenge: ensuring that broker-dealer and investment adviser registrations are renewed accurately, on time, and in compliance with FINRA requirements. The stakes are higher than ever. FINRA’s 2025 BD and IA Renewal Programs highlight that errors or delays in this process aren’t just administrative headaches – they carry real financial risk, regulatory exposure, and operational strain. Manual processes for managing renewals – spreadsheets, emails, and repeated follow-ups – leave room for costly mistakes. A missed registration or incorrect submission can result in unnecessary fee payments, delayed licensing for representatives, and potential compliance […]
Continue readingMore TagRegEd to Showcase Next-Generation Producer Management Technology at the 2025 InsureTech Connect Conference
A joint thought leadership session presented with NIPR will explore the future of producer licensing and how the organizations work together to serve the industry RegEd, the leading provider of compliance technology solutions to the insurance and financial services industry, is proud to be a Gold Sponsor at the 2025 InsureTech Connect (ITC) Conference, taking place October 14–16, 2025, at the Mandalay Bay Convention Center in Las Vegas, Nevada. Attendees can visit RegEd at Booth #654 to explore the latest advancements in producer licensing, compliance automation, and enterprise regulatory technology. ITC Vegas, the premier global event for the insuretech sector, […]
Continue readingMore TagDon’t Fall Behind on Your Annual Branch Audit Compliance Requirements
Stay On Track for Success Now is the perfect time to assess where your branch audit program stands headed into the remainder of this calendar year. As branch office inspection requirements and regulations continue to evolve, staying ahead of the curve is more crucial now than ever. The best way to ensure you finish the year strong is to take proactive steps now to address any potential gaps and complete all required audits, to help avoid non-compliance risk, potential fines or damage to your firm’s reputation. This post will highlight some best practices for mid-year branch audit program evaluation. We’ll […]
Continue readingMore TagIowa’s New Adjuster Licensing Requirements: Your Comprehensive Guide
In April 2025, the Iowa legislature passed SF 619, marking a pivotal shift in how insurance adjusters are licensed and regulated within the state. This new law introduces licensing for Independent Adjusters, Staff Adjusters, Appraisers, and Umpires for the first time. The transition period to licensing will require different procedures depending on when an adjuster’s application is submitted, their experience level, and their adjuster licensing history. On June 9th, 2025, Iowa released Bulletin 25-04, outlining the transitional and long term filing process for these new license types. This blog will walk you through the essentials of Iowa’s independent and staff […]
Continue readingMore TagFINRA Proposes Key Update to Gift Limits in Rule 3220: What Financial Professionals Need to Know
FINRA has submitted proposed amendments to Rule 3220 (Influencing or Rewarding Employees of Others) that could impact your business development and client engagement practices. These changes modernize longstanding limitations on gifts and gratuities, aiming for clarity, increased flexibility, and better alignment with current business realities. Here’s what financial professionals need to know about the proposed changes: Increased Gift Limit: $250 per Recipient, per Year The cornerstone change is an increase in the annual gift limit from $100 to $250 per recipient, per year. This better aligns with inflation and evolving industry standards. This update reflects the Board of Governors’ recommendation […]
Continue readingMore TagFAQs for IAR CE: What to Know About NASAA’s Investment Adviser Representative Continuing Education Model Rule
Several states have adopted and implemented investment adviser representative continuing education (IAR CE) requirements, while many other states continue to join them in implementing these new requirements. Once implemented, Investment adviser representatives have until the compliance date to meet IAR CE requirements if they conduct advisory business in a state that has adopted the North American Securities Administrators Association (NASAA)’s Investment Adviser Representative Continuing Education Model Rule. As an approved IAR CE provider, RegEd answers some of the most common questions that IARs and firms have about these first-time requirements. To see a map of adopted states, visit here. Implementing […]
Continue readingMore TagKey Takeaways from ARM Annual Conference 2025
Our regulatory affairs team was onsite at the ARM Annual Educational Conference 2025 and gathered key insights from the sessions and discussions that took place. The conference brought together industry leaders and experts to discuss the latest developments and best practices in regulatory affairs, focusing on compliance, registration processes, continuing education, and technological advancements. Here’s a look at some of the most important takeaways from the event. Key Changes to FINRA Fees & MFA In November 2024, FINRA approved new fee increases scheduled for 2026, which will impact all registration fees. This includes the introduction of a tiered fee structure […]
Continue readingMore TagRegEd Publishes Report on the Latest Trends in Producer Management and Compliance
Based on a comprehensive survey of the insurance industry, the report reveals that firms continue to struggle with manual processes and effectively integrating their technology RegEd, the market leader in enterprise producer management solutions for the insurance and financial services industry, today announced the release of its latest whitepaper, “Producer Management and Compliance: Insights on Distribution Management Trends, Technology and Opportunities.” The whitepaper summarizes findings from RegEd’s comprehensive industry survey and delivers a clear message: manual processes and fragmented technology continue to hinder the efficiency, compliance, and scalability of producer management across the insurance and financial services sectors. Drawing responses […]
Continue readingMore TagRegEd to Exhibit at the 2025 ARM Annual Conference in New Orleans
RegEd, the leading provider of licensing and registration technology solutions to the financial services industry, is pleased to announce its participation in the upcoming 2025 Association of Registration Management (ARM) Annual Conference. The conference will take place from June 1-4, 2025, in New Orleans, LA. The ARM Annual Conference is renowned for bringing together industry leaders to explore advancements and challenges in registration and licensing functions within the securities and insurance sectors. Attendees can expect in-depth educational sessions featuring key insights from regulators such as FINRA, NFA, NASAA, and other industry experts. At the event, RegEd will showcase its industry-leading […]
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