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Our solution and subject matter experts will provide an overview of how RegEd’s enterprise solutions enable our clients to improve efficiency, effectiveness and transparency across the enterprise.

RegEd Solution

RegEd’s Annual Compliance Meeting On-Demand (ACMOD) solution is designed to meet FINRA requirements and offers a variety of topics that can be combined to create a compelling, relevant and compliant Annual Compliance Meeting. Alternatively, RegEd can incorporate firm-specific content, including audio or video, and develop a customized program tailored to the firm’s requirements. RegEd’s Annual Compliance Meeting catalog is continuously updated with new offerings that cover evolving topics related to the industry, investment products and regulatory developments.

For administrators, RegEd’s Annual Compliance Meeting On-Demand streamlines the development and delivery of courses, as well as provides attendance tracking for regulatory compliance on one platform. Registered persons can access interactive webcasts, pose questions via the system’s Q&A interface, and have their participation validated via automatic attestations. RegEd’s ACMOD provides a cost-effective, FINRA-compliant solution, while improving management control and oversight.

RegEd’s education and training solutions and courses have been developed based on decades of regulatory expertise. RegEd’s broad portfolio of training and continuing education courses and materials are developed and maintained by industry experts. RegEd’s Regulatory Affairs team members monitor FINRA and other regulatory agencies for rule changes and best practices so that course offerings are highly relevant and current.

Distinguishing Capabilities

  • Courses can be tailored to the firm’s specifications.
  • Attestations are automatically generated at the end of each training session.
  • Auto-notifications remind representatives of annual compliance obligations.
  • Easily track the status of course completions and attestations.

Key Benefits

  • Intuitive interface, online access, streamline completion of annual compliance meeting obligations.
  • Multi-media and interactive courses deliver an enhanced learning experience.
  • Online format reduces costs associated with travel and management of live events.
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