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RegEd to Exhibit at the 2025 ARM Annual Conference in New Orleans

RegEd, the leading provider of licensing and registration technology solutions to the financial services industry, is pleased to announce its participation in the upcoming 2025 Association of Registration Management (ARM) Annual Conference. The conference will take place from June 1-4, 2025, in New Orleans, LA. The ARM Annual Conference is renowned for bringing together industry leaders to explore advancements and challenges in registration and licensing functions within the securities and insurance sectors. Attendees can expect in-depth educational sessions featuring key insights from regulators such as FINRA, NFA, NASAA, and other industry experts. At the event, RegEd will showcase its industry-leading […]

Key Takeaways from the FINRA 2025 Annual Conference: Embracing Change and Innovation in Financial Regulation

The FINRA 2025 Annual Conference provided a comprehensive look into the evolving landscape of financial regulation and the ongoing efforts to enhance market integrity, investor protection, and operational efficiency. Several RegEd subject matter experts, including members of our regulatory affairs team, were in attendance, and they made note of these key takeaways from the event. As the financial services industry faces new challenges and opportunities, key discussions from this year’s conference focused on modernizing regulatory practices, enhancing cybersecurity measures, and leveraging innovative technologies like AI. Here are the major insights and takeaways from the event: 1. Modernizing Regulation: Adapting to […]

RegEd Launches RIA Compliance Control Center to Streamline Oversight for Registered Investment Advisers

All-in-one solution centralizes and automates compliance across key regulatory obligations, enabling greater efficiency and risk mitigation for RIAs RegEd, the leading provider of compliance and credentialing solutions for the financial services industry, has announced the launch of the RIA Compliance Control CenterSM, a purpose-built solution that enables registered investment advisers (RIAs) to streamline supervision and enhance oversight across the full spectrum of compliance activities. With increasing regulatory complexity and resource constraints, RIAs face mounting pressure to manage compliance obligations more efficiently while maintaining rigorous oversight. RegEd’s RIA Compliance Control Center empowers firms to meet these challenges head-on with a centralized, […]

RegEd Advances Next-Generation AI Capabilities of Its Industry-Leading Advertising Compliance Review Solution

Version 3.0 of RegEd’s proprietary AI model sets a new industry standard for accuracy, security, and innovation in compliance technology RegEd, the leading provider of compliance solutions for the financial services industry, today announced the release of Version 3.0 of the proprietary AI model that powers its Advertising Review solution. This marks a significant milestone in the evolution of RegEd’s Submission Intelligence suite of capabilities and underscores the company’s leadership in enterprise-grade, AI-enabled compliance technology. Less than a year after being the first to deliver enterprise-ready AI for advertising compliance, RegEd has introduced its third-generation model, setting a new benchmark […]

RegEd to Showcase Enterprise Compliance Solutions at 2025 FINRA Annual Conference

Attendees Will Gain Insight Into the Future of Compliance Technology at the Industry’s Premier Regulatory Event RegEd, the leading provider of compliance and regulatory technology solutions for broker-dealers and financial services firms, is pleased to announce its participation in the 2025 FINRA Annual Conference, taking place May 13–15 in Washington, DC. RegEd will exhibit at kiosk #35 in the exhibit hall and host a client reception on Monday, May 12. The FINRA Annual Conference is a cornerstone event for compliance professionals, offering critical updates on regulatory developments and the opportunity to engage directly with FINRA leaders, industry peers, and solution […]

Essential Edge Compliance Outsourcing Services and RegEd Announce Strategic Partnership to Offer End-To-End Outsourced Solution for Branch Exams

First-of-its-kind collaboration between a leading reg-tech enterprise and a third-party consultant will revolutionize the branch exam landscape Essential Edge Compliance Outsourcing Services, LLC (Essential Edge), which provides third-party outsourced compliance services for broker-dealers and registered investment advisers and RegEd, the leading provider of compliance solutions for financial services firms today announced a partnership that will provide an end-to-end outsourced solution for conducting branch exams. Since its inception in 2005, RegEd’s industry-leading Audit Management solution has enabled in-house audit teams to preempt incidents of operational, regulatory, and reputational risks, while streamlining the branch audit process. Using RegEd’s innovative technology solution, firms […]

RegEd Launches Licensing Essentials, a New Managed Services Solution Tailored to the Needs of Growing Insurance Firms

New outsourcing solution delivers enterprise-grade technology, scalability and compliance expertise to midsized firms via RegEd’s industry-leading managed services model RegEd, the market-leading provider of compliance, licensing, and credentialing solutions to the financial services industry, today announced the launch of RegEd Managed Services Licensing Essentials, a turnkey outsourced solution designed to meet the licensing and credentialing needs of growing insurance firms. While RegEd’s Managed Services outsourcing solution has long been trusted by the industry’s largest organizations, Licensing Essentials brings the same operational excellence, regulatory expertise, and enterprise-grade technology to midsized firms. The solution is specifically calibrated to help midsized and growing […]

RegEd Names Kevin Bieri Chief Architect to Accelerate Platform Modernization and Innovation

RegEd, the market-leading provider of enterprise compliance and producer management solutions for insurance and financial services firms, today announced the appointment of Kevin Bieri as Chief Architect. Establishing this new role reflects RegEd’s continued investment in technology modernization and platform scalability to meet the evolving needs of its clients. Bieri brings more than 15 years of technology and financial services experience, having led architecture and engineering efforts at leading global institutions. Most recently, he served as Vice President of Architecture at Fidelity Investments, where he was responsible for building modern retail trading experiences. Prior to that, he was Director of […]

SEC Issues New Guidance on IA Marketing Rule: Key Takeaways for Compliance and Marketing Teams

On March 20, 2025, the U.S. Securities and Exchange Commission (SEC) issued additional guidance on its Investment Adviser Marketing Rule, clarifying longstanding gray areas that have challenged compliance teams and marketing departments alike. While the new FAQs provide helpful interpretations, they may also necessitate revisions to existing advertising materials, especially for firms promoting performance metrics. Key Highlights of the New SEC Guidance The Marketing Rule, originally adopted in 2020, has transformed the landscape for investment adviser advertising, consolidating decades-old advertising regulations into a modernized framework. Yet, some provisions remained open to interpretation. The SEC’s latest guidance specifically addresses how advisers […]

RegEd to Spotlight AI-Driven Advertising Compliance Solutions as Platinum Sponsor at 2025 IAdCA Conference

RegEd, the leading provider of compliance technology solutions to the financial services industry, is proud to announce its platinum-level sponsorship at the 2025 Insurance Advertising Compliance Association (IAdCA) Conference, scheduled for April 2-4 in Charleston, SC. RegEd will present cutting-edge advancements in AI and advertising compliance during a special 15-minute demonstration on Thursday, April 3. Mark Mashewke, Principal Product Manager at RegEd, will lead the session, titled “AI and Advanced Technologies: Revolutionizing Advertising Compliance and Accelerating Market Readiness.” Mashewske will demonstrate how RegEd’s solutions leverage AI and advanced workflow automation to streamline the advertising compliance review process and accelerate time-to-market. […]

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