RegEd will highlight enterprise compliance solutions that help insurers strengthen oversight, streamline processes and respond effectively to evolving regulatory requirements. RegEd, a leader in compliance management and regulatory technology, is pleased to announce its participation as a Supporter of the 2026 Association of Insurance Compliance Professionals (AICP) Annual Conference, taking place October 10–13 in Louisville, Kentucky. The 2026 AICP Annual Conference will bring together insurance compliance professionals, regulators and industry leaders for four days of education, insights and networking. Centered on the theme “Compliance: Guiding the Future, Grounded in History,” the conference will explore emerging trends and current compliance challenges […]
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’Tis the Season for Gift Compliance: Managing FINRA Rule 3220 Risk
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 […]
Continue readingMore TagManaging Pay-to-Play Compliance as Rules Evolve
Political contributions can create significant compliance challenges for registered investment advisory (RIA) firms, particularly when employees or covered associates have connections to government clients or prospective clients. When it comes to politics, investment advisers and their covered associates can be as passionate as any voters. But “pay-to-play” rules prohibit advisers from making some political donations that many other voters could. SEC Rule 206(4)-5 considers it to be unlawful for investment advisers to provide investment advisory services for compensation to a government entity within two years after a contribution to an ‘official’ of the government entity is made by the investment adviser […]
Continue readingMore TagThe New SEC Exam Handbook: What Firms Should Know About Examination Readiness
An SEC examination does not begin when a firm receives its first document request. The ability to respond depends on work already done: keeping filings accurate, maintaining accessible records, understanding where risks arise in the business, and documenting how compliance issues are addressed. On October 1, 2026, the SEC Division of Examinations published The SEC Exam Handbook: A Practical Guide on Process and Engagement. The handbook replaces and expands on the Division’s previous examination brochure, taking registrants through the process from candidate selection to the disposition letter. It does not create new requirements. Instead, it gives firms a more detailed […]
Continue readingMore TagNAIC AI Risk Evaluation Supplement: What Insurers Should Know About the Emerging Examination Framework
Artificial intelligence is becoming embedded across the insurance enterprise, supporting activities ranging from marketing and underwriting to claims, customer service, fraud detection and financial management. As adoption expands, state insurance regulators are moving beyond broad discussions of responsible AI and developing more structured ways to evaluate how insurers identify, govern and control the risks associated with these systems. The National Association of Insurance Commissioners’ draft Artificial Intelligence Risk Evaluation Supplement is an important development in that evolution. Created by the NAIC Big Data and Artificial Intelligence Working Group, the supplement is intended to help regulators identify and assess consumer and […]
Continue readingMore TagRegEd to Sponsor and Exhibit at the 2026 Global RegTech Summit USA
RegTech provider will showcase how Eddie, its AI-powered compliance assistant, helps firms improve efficiency, reduce compliance risk and accelerate speed to market. RegEd, a leading provider of regulatory technology solutions for financial services firms, today announced that it will serve as a Bronze Sponsor and exhibitor at the 2026 Global RegTech Summit USA, being held September 29 at Convene in New York City. Attendees can meet with the RegEd team at Booth 22. The Global RegTech Summit USA brings together compliance, risk management, technology and financial crime prevention leaders to examine evolving regulatory challenges, emerging technology and the future of compliance. The […]
Continue readingMore TagSEC Approves FINRA Rule 3290, Reshaping Outside Activity Compliance
What broker-dealers should do now to update Outside Business Activities (OBA) and Private Securities Transactions (PST) disclosures, risk assessments, supervisory workflows and Form U4 processes The Securities and Exchange Commission approved FINRA Rule 3290, Outside Activities Requirements, on September 15, 2026. The new rule will replace FINRA Rules 3270 and 3280 with a consolidated framework governing outside activities and outside securities transactions. FINRA will announce the rule’s effective date separately in a Regulatory Notice. Although the rule is intended to reduce unnecessary compliance burdens, implementation will require more than a policy update. Broker-dealers will need to reconsider how they collect […]
Continue readingMore TagInsurance Regulatory Roundup | August-September 2026
August and the beginning of September sustained the high volume and operational complexity that have characterized insurance regulation throughout 2026. Artificial intelligence oversight moved closer to examination readiness, catastrophe-related orders required repeated updates to cancellation, nonrenewal, claims, and policy-administration processes, and states continued expanding requirements governing pharmacy benefit managers, health coverage, electronic claims, and financial reporting. For carriers, producers, and compliance teams, the activity points to a growing implementation challenge. Regulatory obligations increasingly cross business functions and require coordinated changes to procedures, systems, contracts, communications, training, and recurring compliance tasks. Meanwhile, a significant cluster of state and federal requirements scheduled […]
Continue readingMore TagSecurities Regulatory Roundup | August-September 2026
August and early September brought renewed focus to several of the most consequential securities compliance themes of 2026: fraud prevention, cybersecurity, anti-money laundering enforcement, digital assets, and the continued modernization of supervisory and operational requirements. FINRA proposed broader tools for responding to suspected financial exploitation, issued new cybersecurity guidance and a targeted technology alert, and imposed a significant AML fine. At the same time, the SEC and CFTC continued to shape the regulatory agenda for digital assets, market structure, reporting, and intermediary oversight. For broker-dealers, investment advisers, and other regulated firms, the throughline is increasingly operational. Regulators are examining whether […]
Continue readingMore TagRegEd to Showcase Industry-Leading Producer Management and Compliance Technology at InsureTech Connect 2026
RegEd will demonstrate how insurers and distributors can automate producer compliance, accelerate speed to market and achieve real-time clear-to-sell validation. RegEd, a leading provider of compliance and producer management technology solutions to the insurance and financial services industry, today announced that it will serve as a Supporting-Level Sponsor and exhibitor at ITC Vegas 2026, taking place September 29 through October 1 at Mandalay Bay in Las Vegas. Attendees can visit RegEd at Booth #3243 to explore technology designed to modernize producer management, streamline compliance operations and accelerate compliant business placement. ITC Vegas brings together insurers, insurtechs, investors, agents, brokers and […]
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