News Archives

’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 […]

RegEd’s Advertising Compliance Solution Surpasses 8 Million Submissions

Through continuous innovation and AI-powered automation, the solution continues to set the standard for marketing and advertising compliance in the financial services industry RegEd, a leading provider of compliance solutions for financial services firms, has reached a major new milestone: Enterprise Advertising Review has now surpassed 8 million submissions, representing more than 15 million review decisions and nearly 17 million submitted review items. This achievement underscores RegEd’s unmatched ability to streamline advertising compliance at scale, powered by advanced technology and AI-driven automation. The solution’s continued high-growth adoption reflects RegEd’s commitment to exceeding the evolving needs of the financial services industry, from mid-sized firms to enterprise organizations with the highest submission volumes. Today, RegEd’s solution serves six of the […]

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 […]

Year-End Reminder: Ensure IAR CE Compliance Before the CRD/IARD Renewal Shutdown

As the calendar year draws to a close, it’s essential for Investment Adviser Representatives (IARs) and their firms to take a proactive approach toward meeting continuing education (CE) obligations. With the annual FINRA CRD/IARD Renewal Shutdown scheduled to begin on December 26, 2025, and more states than ever enforcing IAR CE requirements – including Illinois, which goes live in 2026 – compliance teams face growing complexity and shrinking timelines to ensure every IAR remains in good standing. Failing to complete CE requirements before the shutdown can trigger serious consequences – from administrative terminations and client reassignments to lost compensation eligibility […]

RegEd to Exhibit Enterprise Compliance Solutions at 2025 NSCP National Conference

The industry leader will highlight AI innovation and a comprehensive suite of compliance solutions for financial services firms RegEd, the leading provider of regulatory technology solutions to the financial services industry, is a proud Platinum Member Ally and exhibitor of the 2025 National Society of Compliance Professionals (NSCP) National Conference, taking place October 26-29 in Orlando, FL. Visit RegEd at Demo Stand #11 in the main exhibit hall to connect with the team and experience hands-on demonstrations of the company’s industry-leading solutions. The annual NSCP National Conference is recognized as one of the most comprehensive educational offerings for compliance professionals […]

RegEd to Sponsor and Share Expert Insights at the 2025 SILA National Education Conference

The industry leader will showcase innovations in producer management technology and services, while thought leaders will contribute to multiple conference sessions RegEd, a leading provider of producer management and compliance solutions for the insurance and securities industries, is proud to announce its role as a Diamond Sponsor and exhibitor at the 2025 SILA National Education Conference, taking place October 26-29 in New Orleans, LA. RegEd subject matter experts will be actively engaged throughout the conference, sharing insights on regulatory compliance, producer management, and licensing operational excellence. Featured Session: “Producer Management & Compliance: 2025 State of the Industry Insights” RegEd will lead […]

RegEd Recognized in InvestmentNews 5-Star Technology Awards for Innovation in Wealth Management Solutions

The industry leader’s AI-Powered Advertising Review solution earns distinction for advancing marketing compliance through automation and continuous innovation RegEd, a leading provider of compliance and technology solutions for the financial services industry, has been named to the InvestmentNews 5-Star Technology Report, recognizing the company’s innovative solutions that help wealth management firms navigate complex compliance and operational challenges. The InvestmentNews 5-Star Technology Awards recognize technology service providers across the United States, assessing how solutions address industry-specific challenges, differentiate themselves in the marketplace, and deliver measurable value to financial advisors and firms. Winners are selected through a rigorous evaluation conducted by InvestmentNews’ […]

RegEd Honored with Multiple SILA Award Nominations, Showcasing Industry Leadership in Licensing and Compliance

Two RegEd compliance experts have received nominations for advancing industry education, while RegEd has been nominated for the SILA Organization of the Year Award. RegEd, a leading provider of compliance technology solutions for the insurance and securities industries, today announced its 2025 nominations from the Securities & Insurance Licensing Association (SILA). These nominations highlight RegEd’s continued commitment to advancing licensing and registration practices in the financial services industry and underscore the company’s leadership and active participation in the SILA community. SILA’s awards program recognizes exceptional contributions from both individuals and organizations, as nominated by peers, with winners to be announced […]

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