RegEd Product Management Team, Author at RegEd.com

RegEd Expands AI-Powered Advertising Review with the Launch of AI Compliance PreCheck for Broker-Dealers

New pre-review capability, RegEd PreCheckSM powered by Eddie AI, helps broker-dealers identify compliance risk and improve content quality before formal compliance review begins. RegEd, the leading provider of compliance solutions for financial services firms, today announced the launch of AI Compliance PreCheck for Broker-Dealers, a new capability within its AI-Powered Advertising Review solution. By embedding AI-driven compliance intelligence earlier in the advertising content lifecycle, AI Compliance PreCheck enables firms to quickly identify potentially problematic language, validate required disclosures, and receive AI-driven revision suggestions before materials are formally submitted for compliance review. As regulatory expectations continue to evolve and marketing teams move faster across digital channels, broker-dealers face growing pressure to balance speed-to-market with consistent compliance oversight. In this […]

RegEd to Exhibit Adjuster Licensing and CE Solutions at the PLRB Claims Conference & Insurance Services Expo

RegEd, a leading provider of compliance and regulatory technology solutions for the financial services industry, today announced it will exhibit at the PLRB Claims Conference & Insurance Services Expo, taking place March 22–25, 2026 in National Harbor, Maryland. Attendees can visit RegEd at Booth #435 to learn how its integrated compliance technology platform helps insurers strengthen regulatory oversight, streamline operational processes, and reduce compliance risk. The PLRB Claims Conference is one of the insurance industry’s largest educational events, bringing together claims professionals, legal experts, and service providers to explore emerging risks, regulatory developments, and innovations shaping the future of insurance operations. At the […]

RegEd to Exhibit at the 2026 Investment Adviser Compliance Conference Hosted by the Investment Adviser Association

RegEd, a leading provider of compliance technology solutions for financial services firms, announced today that it will be a proud exhibitor at the Investment Adviser Compliance Conference, hosted by the Investment Adviser Association, taking place March 18–20, 2026, in Washington, D.C. The annual conference brings together hundreds of compliance professionals, legal experts, regulators, and industry leaders from across the investment adviser community to discuss the evolving regulatory landscape and share practical strategies for maintaining effective compliance programs. The event features sessions led by SEC officials, industry professionals, and legal experts, offering attendees the latest insights on regulatory developments and compliance best practices. At the conference, RegEd will exhibit at booth #2 and showcase its […]

Introducing Submission Search: Faster, Smarter, Audit-Ready Insight Across All OBA Requests

In today’s environment of higher scrutiny, tighter timelines, and growing supervisory obligations and expectations, firms need better visibility and faster access to the full story behind both recent and historical OBA requests. That’s why RegEd is introducing Submission Search – a powerful new way to search across all OBA submissions. Built directly from our client feedback, it’s one of several major enhancements on our product roadmap designed to strengthen oversight, improve productivity, and support repeatable, defensible compliance decisions. The Industry Problem: Compliance Teams Need Answers Fast Whether responding to a regulatory inquiry, reviewing potential conflicts, or ensuring consistency in decision-making, compliance teams face a common set of challenges: RegEd’s OBA solution provides a centralized way to […]

RegEd to Exhibit at the 2026 ARM Annual Conference in Sarasota

RegEd, the leading provider of licensing, registration, and compliance technology solutions for the financial services industry, today announced its participation in the 2026 Association of Registration Management (ARM) Annual Conference, taking place March 2–4, 2026, in Sarasota, Florida. The ARM Annual Conference brings together registration management professionals, regulators, and industry leaders to explore evolving regulatory expectations, operational best practices, and technology innovations impacting broker-dealers, insurance carriers, and financial services firms. The conference offers valuable education and networking opportunities, with insights from regulators and subject matter experts across the securities and insurance landscape. At the event, RegEd will showcase its industry-leading Enterprise Xchange Licensing and Registration solution and Managed Services, designed […]

OBA and PST Rules Could Be Consolidated: What Does It Mean for the Industry?

The Financial Industry Regulatory Authority (FINRA) is considering a significant potential change in how it governs certain areas of conflicts of interest by consolidating its rules on Outside Business Activities (OBA) and Private Securities Transactions (PST). This proposal could bring much-needed clarity and efficiency to compliance processes for member firms. Current Landscape: OBA and PST Rules At present, OBAs and PSTs are governed separately under FINRA Rules 3270 and 3280. These rules outline how registered representatives must disclose and seek approval for activities and private securities transactions outside their primary roles with their member firms. While these rules aim to […]

RegEd’s Xchange Alerts Solution Surpasses 300 Million Data Updates, Reinforcing Industry Leadership in Automated Producer Data Reconciliation

The industry’s most trusted solution for rules-based producer data reconciliation continues to scale, helping insurers and distributors reduce NIGOs and maintain accurate, real-time producer data through sustained innovation and adoption. RegEd, the leading provider of producer management solutions for the financial services industry, today announced a new milestone for its market-leading Xchange Alerts solution, which has now processed more than 300 million data updates. This achievement reflects continued growth in adoption and usage of the solution and underscores RegEd’s long-standing leadership in delivering automated, rules-based producer data reconciliation at enterprise scale. Xchange Alerts leverages deep integration with the NIPR Producer Database (“PDB”) to deliver automated […]

Transform Annual Registration Renewals Into a Strategic Advantage

For financial services firms, annual broker-dealer and investment adviser registration renewals are more than a regulatory requirement; they’re a critical operational moment that directly affects business continuity, revenue protection, and client trust. As firms prepare for the 2026 renewal cycle, the stakes remain high. A single missed deadline or filing error can trigger avoidable fees, licensing interruptions, regulatory scrutiny, and unnecessary strain on already stretched compliance teams. FINRA’s latest BD and IA Renewal Programs highlight a reality the industry knows well: even minor oversights can create outsized consequences. Yet many organizations still rely on manual, fragmented processes like spreadsheets, email threads, and adhoc follow-ups. These manual processes introduce risk, reduce visibility, and consume valuable […]

’Tis the Season… for Compliance: How to Stay One Gift Away from a FINRA Rule 3220 Violation

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 […]

Elevating Oversight: Tracking Conditions for High-Risk Outside Business Activities

The financial industry is facing a shift in how firms manage and monitor Outside Business Activities (OBAs), especially in light of the proposed consolidation of FINRA’s OBA and PST (Private Securities Transactions) rules. While much has been discussed about the structural and supervisory changes this consolidation may bring, one aspect that’s been less explored, but is drawing increasing scrutiny, is the monitoring of conditions placed on approved OBAs. Conditional Approvals: A Growing Focus of FINRA Inquiries Anecdotal evidence suggests that FINRA is beginning to ask firms a pointed question: If you approve an OBA with conditions, how are you ensuring […]

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