RegEd Product Management Team, Author at RegEd.com

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 […]

Key Takeaways from the 2025 NSCP National Conference

AI Governance, Conflict Management, Marketing Compliance & the Next Era of Supervision The 2025 NSCP National Conference made one thing clear: the regulatory landscape isn’t simply evolving – it is accelerating. Compliance leaders across the industry gathered to discuss how rapid advances in technology, including artificial intelligence, are reshaping business operations, regulatory expectations, and the core workflows of modern compliance teams. Where past years focused on adoption and awareness, this year shifted decisively toward execution, governance, and demonstrable controls in place to ensure compliance, such as ‘human in the loop’ for AI. Regulators now expect firms to not only use […]

RegEd Introduces Eddie: The New Face of Its Ongoing Innovation in AI and Advanced Automation for Compliance and Producer Management

Already at work across the RegEd platform, Eddie brings together automation and applied AI to streamline compliance, reduce risk and accelerate speed to market. RegEd today introduced Eddie, a virtual compliance assistant and personification of the company’s current and future innovation in AI and automation. As compliance requirements grow more complex and interconnected, firms are seeking better ways to streamline operations, reduce risk and improve oversight. Eddie brings together a growing set of intelligent capabilities that are already reshaping how firms manage compliance and producer operations. By weaving intelligence and automation into everyday workflows, from licensing and onboarding to advertising […]

Considering Joining FINRA’s Remote Inspections Pilot Program? Here’s How RegEd Can Help

If your firm is evaluating whether to opt into Pilot Year 3 of FINRA’s Remote Inspections Pilot Program, there’s a lot to weigh – and a compelling case for leveraging a specialized audit management solution. Established under FINRA Rule 3110.18, which took effect July 1, 2024, the program is a voluntary, multi-year initiative (running through June 30, 2027) that permits eligible firms to conduct required inspections remotely, under defined conditions, instead of through traditional on-site visits. Firms that do not enroll must continue to meet Rule 3110(c) obligations with in-person inspections. Participation in the pilot requires documented risk assessments, updated […]

Streamline Your Annual Registration Renewal Process

Every year, financial services firms face the same critical challenge: ensuring that broker-dealer and investment adviser registrations are renewed accurately, on time, and in compliance with FINRA requirements. The stakes are higher than ever. FINRA’s 2025 BD and IA Renewal Programs highlight that errors or delays in this process aren’t just administrative headaches – they carry real financial risk, regulatory exposure, and operational strain. Manual processes for managing renewals – spreadsheets, emails, and repeated follow-ups – leave room for costly mistakes. A missed registration or incorrect submission can result in unnecessary fee payments, delayed licensing for representatives, and potential compliance […]

Don’t Fall Behind on Your Annual 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 mid-year branch audit program evaluation. We’ll […]

FINRA Proposes Key Update to Gift Limits in Rule 3220: What Financial Professionals Need to Know

FINRA has submitted proposed amendments to Rule 3220 (Influencing or Rewarding Employees of Others) that could impact your business development and client engagement practices. These changes modernize longstanding limitations on gifts and gratuities, aiming for clarity, increased flexibility, and better alignment with current business realities. Here’s what financial professionals need to know about the proposed changes: Increased Gift Limit: $250 per Recipient, per Year The cornerstone change is an increase in the annual gift limit from $100 to $250 per recipient, per year. This better aligns with inflation and evolving industry standards. This update reflects the Board of Governors’ recommendation […]

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