As we look ahead in 2026, we reflect on the progress, partnerships, and priorities that shaped 2025. On behalf of the entire RegEd team, I want to express our sincere appreciation for your continued trust and collaboration. Your partnership is central to our mission and to the outcomes we aim to achieve together.

2025 reinforced a reality that will only grow more pronounced: compliance is no longer just a control function — at its best, it is a strategic advantage. Firms that can move with speed, operate with precision, and demonstrate rigorous compliance will be better positioned to grow and compete effectively. That is why we continue to invest in resilient compliance infrastructure, intelligent automation, and long-term partnerships that help you stay ahead of both risk and opportunity.

The Year That Was: What 2025 Reinforced About Our Industry

Across the industry, 2025 underscored several enduring realities:

  • Regulatory complexity continued to rise, increasing the need for accurate, up-to-date compliance intelligence.
  • Speed to market became even more critical, particularly for firms balancing growth with risk management.
  • Data and integrations grew more central to effective compliance operations, as firms sought to connect systems, reduce manual work, and improve visibility.
  • Artificial intelligence moved beyond experimentation into practical, high-value use cases — especially where it could enhance review quality, consistency, and efficiency.

These dynamics shaped how we approached our work at RegEd and guided our investments throughout the year.

RegEd in 2025: Growth, Scale and Industry Leadership

Thanks to deepening partnerships with our clients, RegEd experienced another year of meaningful growth and innovation. Many of our longstanding clients expanded their use of our platform, integrating additional RegEd solutions to strengthen and modernize their compliance programs. In 2025, our largest 25 clients utilized an average of approximately 14 RegEd solutions, reflecting both the breadth of our portfolio and the depth of our relationships. We also welcomed a record 40+ new clients, underscoring the compelling value proposition that we present to the industry.

Our growth mirrors our ability to serve some of the industry’s largest and most complex organizations. Over time, we have processed more than 70 million compliance and credentialing transactions, generated more than 300 million Alerts, and handled more than 120 million API requests. Users have completed more than 21 million courses on our platform, and RegEd has issued more than 5.5 million certifications — including roughly 400,000 in 2025 alone.

We continued to support robust compliance programs by processing more than 8 million compliance questionnaires and surpassing 8 million advertising review submissions, representing approximately 16 million individual review items. Today, our platform manages roughly 14 million active licenses and registrations, while maintaining an average uptime of 99.9%+. At the same time, our scale continues to be supported by continued investments in security and controls, including SOC 2 Type 2 compliance. These metrics reflect not just scale, but reliability — a foundation our clients depend on.

Welcome, Eddie!

Artificial intelligence and advanced automation also played a larger role across our portfolio in 2025, anchored by the launch of Eddie, RegEd’s AI-powered compliance assistant. Building on that foundation, we introduced new AI and automation capabilities aimed at making compliance work faster and more efficient, including:

  • Context‑aware language detection within Advertising Review, trained on real compliance outcomes to help identify potentially problematic language with greater accuracy and consistency.
  • Advertising Review Pre-Check, which allows submitters to identify and correct issues before formal submission, reducing rework while preserving strong governance.
  • AI‑Powered Media Transcription to help firms more efficiently capture, analyze, and supervise audio and video advertising content.
  • Political Contribution Intelligence, which automatically surfaces potential non‑disclosed political contributions that warrant further compliance review.

We also advanced key solutions across the RegEd suite through targeted enhancements:

  • Real-time FINRA integrations and continued API modernization, enabling faster data validation, improved accuracy, and reduced manual processing.
  • Real-time training APIs supporting the IRI’s Digital First Initiative, helping firms verify training completion at the point of business placement, reduce NIGOs, and eliminate delays that can slow revenue-generating activity.
  • Expanded FINRA support and WORM storage in CODE Complaints, providing dual-registered firms with a unified system for capturing, supervising, and retaining customer complaints across broker-dealer and investment advisory obligations.
  • Expanded automation across the producer lifecycle by building Smart Agency Appointments, Smart Licenses and DTCC Automation for distributors and carriers to reduce manual effort, improve accuracy, and accelerate producer onboarding and ongoing changes.
  • Modernized foundational elements of the RegEd technology platform, improving performance, increasing scalability, and enhancing quality and reliability across our products and services.

What We Built: Product, Technology, and AI Advancement

In 2025, we made purposeful investments in both our technology foundation and our product capabilities. Across the platform, we delivered more than 100 new value-added features and enhancements, with a consistent focus on usability, integration, and performance. These improvements were designed to make the platform more intuitive for users while strengthening its ability to support increasingly complex compliance operations.

On the technology side, we continued to modernize our architecture and infrastructure to support the evolving needs of our clients. This included meaningful progress in API modernization and expanded support for FINRA’s developing API ecosystem. We also strengthened our testing, monitoring, and security practices — including expanded performance monitoring, greater use of automated regression testing, and continued focus on data governance — to ensure our platform remains resilient, secure, and able to scale reliably alongside our clients. We also expanded self-service tools to help clients and our own teams resolve issues more quickly. Taken together, these investments reinforce our commitment to maintaining an enterprise-grade foundation that can support mission-critical compliance work.

How We Served You: Customer Excellence and Delivery

Beyond product innovation, 2025 marked an important step forward in how we partner with our clients. Under the leadership of Michael Fox, EVP, Customer Experience, and Linda Guilfoyle, EVP, Technical Operations, we launched our Customer Excellence Initiative in collaboration with our Technology team. This effort is centered on improving communication, increasing transparency, and strengthening the overall client experience.

As part of this evolution, we strengthened our client coverage model with dedicated relationship managers, technical account managers, and technical support engineers who understand each client’s environment, priorities, and objectives.

Within our Product organization, we realigned our solution teams around distinct client business models — such as insurers, distributors, adjusters, broker-dealers, and more — so that our teams bring deeper domain expertise and more tailored support to each client’s unique workflows and regulatory context.

We also continued to invest in our Professional Services organization and our Solutions Consulting team, ensuring that clients receive both technical expertise and strategic guidance throughout their implementation and ongoing use of RegEd. Our Solutions Consulting team provides ongoing advisory support, health checks, and best-practice guidance throughout the client lifecycle. In addition, we enhanced our implementation discipline through clearer SOW processes, stronger project management practices, and earlier engagement in the sales cycle to align expectations from day one. These investments reflect our belief that successful outcomes depend not only on great technology, but also on strong execution and collaboration.

Regulatory Leadership and Industry Engagement

Our Regulatory Affairs team remained a critical resource for our clients in 2025. The team reviewed more than 40,000 new regulatory items, published more than 2,900 new requirements, and maintained more than 300,000 rules within Xchange. They helped guide clients through significant developments, including expanded IAR CE adoption, changes to Iowa’s adjuster licensing requirements, FINRA’s API transition, and updates related to the Remote Inspection Pilot and RSL standards.

RegEd also maintained a strong presence across the industry, sponsoring and participating in more than 20 events and serving on the boards of four major industry organizations. These activities underscore our commitment to thought leadership, collaboration, and advocacy within the compliance community.

Looking Ahead

As we look ahead, our focus remains on helping firms operate confidently in an increasingly complex regulatory environment. Our roadmap is centered on four interconnected priorities: expanding the practical application of AI and advanced automation, delivering deeper compliance insight, improving day‑to‑day usability, and strengthening the platform foundation that supports long‑term scale and reliability.

We will continue to expand Eddie’s role across the platform, building on his foundation in advertising review, licensing, and supervision. Planned areas of focus include AI‑assisted review of outside business activities, virtual compliance assistance for agents and advisors, and conversational reporting that allows teams to explore compliance data more easily — all grounded in firm‑specific policies and controls.

Another key focus for 2026 is helping firms move from reactive supervision to proactive risk management. By turning compliance activity into clearer insight — through capabilities such as consolidated supervisory views, rep‑level risk indicators, and expanded analytics — we aim to help firms identify trends and emerging risk earlier and respond more effectively.

We will also continue investing in platform modernization, including API expansion, security and identity enhancements, and increased automation that supports scale and reliability. In parallel, we are improving the consistency and usability of the RegEd experience to help teams onboard more quickly, work more efficiently, and realize value sooner.

International expansion remains an important focus. In 2026, we expect to deepen our support for Canadian licensing and registration requirements, enabling firms with cross-border operations to manage compliance more effectively within a single, integrated platform.

Above all, our commitment remains the same: to be a trusted, long-term partner that invests in product, technology, service, and quality on your behalf. We are excited about what lies ahead and grateful to be on this journey with you.

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