RegEd Product Management Team, Author at RegEd.com

Don’t Fall Behind on Your 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 branch audit program evaluation. We’ll also […]

Registration Renewal Compliance: How Year-Round Licensing Management Reduces Risk and Last-Minute Scrambling

Registration Renewals Are Not a Once-a-Year Problem For many financial services firms, registration renewal season feels like a race against the clock. Compliance teams scramble to verify registration records, licensing teams chase down representatives and managers for approvals, and leadership works to ensure no critical registrations slip through the cracks. As firms continue to expand across jurisdictions, product lines, and distribution channels, managing CRD and IARD registrations has become increasingly complex. Licensing teams must maintain accurate registration information, track representative activity, coordinate approvals, and ensure compliance with evolving regulatory requirements. Without a structured, year-round approach, renewal season can quickly become an operational burden. The strongest renewal […]

Best Practices for Streamlining Your Annual Registration Renewal Process

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. With each 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 time that could be spent […]

RegEd Expands AI-Powered Advertising Review to Support SEC Compliance for Investment Advisers

Powered by RegEd’s Eddie AI Compliance Assistant, expanded coverage adds the SEC Marketing Rule and related investment adviser requirements to existing FINRA support — delivering the industry’s most comprehensive scope of securities advertising compliance. RegEd, the leading provider of compliance solutions for financial services firms, today announced the expansion of its AI Compliance Assistant, powered by Eddie, to support investment adviser advertising compliance within its Advertising Review solution. The expansion extends Eddie’s existing AI-driven coverage across broker-dealer and FINRA frameworks to evaluate investment adviser materials against SEC Rule 206(4)-1, the SEC’s modernized Marketing Rule — giving firms, particularly dual registrants, […]

RegEd Launches Xchange Accelerate: A Pre-Configured Solution to Streamline Producer Management and Drive ROI for Growing Firms

The solution gives growth-focused carriers, MGAs, agencies, brokers and adjusters access to the same technology trusted by the industry’s largest firms, with a faster path to automate licensing, appointments and onboarding. RegEd, the leading provider of enterprise compliance and credentialing technology solutions for the financial services and insurance industries, today announced the launch of Xchange Accelerate, a pre-configured producer management solution that helps organizations modernize licensing, appointment and registration operations faster. All with a streamlined implementation designed to accelerate time to value. Built on RegEd’s market-leading Xchange platform and shaped by decades of successful client implementations, Xchange Accelerate enables carriers, MGAs, agencies, brokers and adjusters to centralize and automate producer […]

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 of FINRA Rule 3290 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 […]

RegEd Introduces Smart Licensing to Automate Initial Nonresident Licensing for Producers and Adjusters

New solution eliminates manual, state-by-state licensing processes and enables organizations to scale without additional staff RegEd, the market leader in compliance, credentialing, and regulatory intelligence solutions for the insurance and financial services industries, today announced the launch of Smart Licensing, the industry’s first automated solution for initial nonresident licensing of both producers and adjusters. Part of RegEd’s Smart Automation suite within the Xchange Licensing and Registration Platform, Smart Licensing replaces manual, state-by-state licensing work with a fully automated, rules-driven process. Using customer-defined business rules based on factors such as title, region, and cost center, Smart Licensing automatically determines when and where non-resident licenses should be obtained – without human intervention. These capabilities are unified through […]

RegEd to Highlight Clear-to-Sell Verification and Producer Enablement at the 2026 IRI Annual Conference

RegEd subject matter experts will present a session on eliminating licensing, appointment, and eligibility friction across the annuity distribution chain RegEd, a leading provider of compliance and regulatory technology solutions for financial services firms, today announced its participation in the 2026 IRI Annual Conference, taking place April 22–24 at the JW Marriott Tampa. RegEd will be exhibiting at Booth #18, where attendees can learn how the company is helping firms streamline compliance processes and modernize annuity distribution operations. As annuity distribution becomes increasingly complex, firms are under pressure to improve efficiency while maintaining strict compliance standards. RegEd’s solutions are designed to address these challenges by enabling greater visibility […]

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 […]

1 2 3 4

Posts navigation