RegEd to Participate in 2021 SILA National Education Conference

Thought leaders from RegEd will participate at the upcoming 2021 SILA National Education Conference, which will be held in Philadelphia on September 19-22. RegEd is also a Diamond Level sponsor of the annual event. Attendees at the in-person conference will use their collective ideas, voices, and energies to work “Together Towards Tomorrow” to address insurance licensing and securities registration challenges. The conference agenda includes dozens of sessions around tracks for Surplus, Securities, LHPCV, Adjusters, and […]

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Advertising Review: Is Your Marketing Collateral Review Process 17a-4 Compliant

RegEd’s Advertising Review solution is built to support firm’s marketing collateral approval process. In addition to robust workflows, Advertising Review is designed with compliance in mind including Worm and D3P support per SEC requirements. Many regulations imposed by FINRA and the SEC have to do with the archiving of electronically stored information (ESI). Therefore, to ensure compliance firms are required to archive all necessary ESI. However, just archiving the data is not enough. SEC Rule […]

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RegEd to Showcase Enterprise Compliance Solutions at 2019 FSI OneVoice Conference

Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet compliance and registration obligations while presenting a unified enterprise view of requirements. Raleigh, NC, Jan. 25, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in New Orleans, LA, January 28-30, 2019. The FSI OneVoice conference is […]

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Gryphon Investors to Acquire RegEd, Inc.

Gryphon Investors (“Gryphon”), a San Francisco-based middle-market private equity firm, today announced that it has signed a definitive agreement to acquire RegEd, Inc. (“RegEd” or “the Company”), the leading provider of compliance and regulatory management services for insurance companies, broker-dealers, banks, and other financial services companies. Founder and CEO John Schobel and other members of RegEd’s management team, as well as current majority owner Falfurrias Capital Partners, will retain an equity ownership in the Company. Mark Schlageter, […]

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Advertising Review: 4 Ways to get the Most From Your-Reports

Reports show trends on how well your firm did in the past, as well as what’s coming down the pike. These are key factors that drive success for the firm. Information provided by reports is especially important in today’s compliance environment, where it’s critical to be proactive instead of reactive. To make the most of RegEd’s Advertising Review reporting capabilities, follow these proven steps to improve your process. 1. Determine what's important to your firm […]

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Efficiencies with Advertising Review’s Two-Way FINRA Integration

Firms filing their advertisements with FINRA know how time consuming and cumbersome the process can be. Not only does the firm need to review collateral based on internal processes, but they also need to organize and send firm-approved files to FINRA based on FINRA 2210. FINRA offers two ways to initiate the review process – either manually through their web portal, or by integrating with its Advertising Review Electronic Files (AREF) system. Since AREF was […]

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The Future of Customer Communications Compliance

We had a blast during the 2018 Advertising Review Client Advisory Board (CAB) meeting! A dozen of our clients and RegEd employees teamed up to review what’s coming down the pike for RegEd’s Advertising Review solution and the industry. During our nearly two-hour meeting, we discussed product features, played innovation games, and explored what the future of the industry could look like. See below for the top takeaways from this year’s session. Third-Party Integrations Over […]

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RegEd to Showcase Enterprise Platform Solution at 2018 FINRA Annual Conference

Attendees will have the opportunity to learn how RegEd enables clients to efficiently meet obligations across compliance management, conflicts of interest, education, and licensing and registration processes RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2018 FINRA Annual Conference in Washington, DC, May 21-23, 2018. FINRA's annual conference provides securities industry practitioners with guidance on regulatory priorities and addresses the […]

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RegEd Announces Innovations in Branch Audit-Management Capabilities as Part of Enterprise Compliance-Platform

Increased automation, improved data management and simplified user experience streamline the end-to-end process of planning, conducting and resolving branch audits RegEd, the leading provider of Compliance Management, Licensing and Registration, and Education solutions to the financial services industry, has announced the rollout of an upgraded version of its industry-leading Enterprise Branch Audit Management. The release is the result of significant investment and ongoing technology innovation to enable greater levels of automation and improved data accuracy […]

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RegEd Recognized by SILA Foundation for Contributions to Education Advancement

RegEd, the leading provider of Licensing and Registration technology solutions to the financial services industry, today announced that it will be recognized for its ongoing commitment to the advancement of education and support of the SILA Foundation, an education-focused non-profit organization. In commemoration of RegEd’s support, the SILA Foundation will issue an academic scholarship for 2017 in RegEd’s name. In addition, Ann Robinson of RegEd has been named Chair of the SILA Foundation Promotions Committee. […]

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