RegEd to Showcase Enterprise Compliance Solutions at 2024 FINRA Annual Conference

Attendees will have the Opportunity to Learn How to Navigate Today’s Evolving Regulatory Landscape with RegEd’s Innovative Solutions at the can’t miss industry event. RegEd, the leading provider of compliance technology solutions for broker-dealers and financial services firms, is pleased to announce its participation in the 2024 FINRA Annual Conference in Washington, DC, from May 14-16, 2024. As a proud sponsor, RegEd will host a double kiosk, located at booth #36 in the M4 level exhibit hall, and a client welcome reception on Monday, May 13. The FINRA Annual Conference is an essential event for securities industry professionals, offering insights […]

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RegEd’s Xchange Alerts Solution Reaches 250 Million Data Updates, Setting New Milestone for Automated Producer Data Reconciliation

The industry’s most trusted solution for rules-based producer data reconciliation to reduce NIGOs and ensure accurate, up-to-date producer data achieves new breakthrough in scale, fueled by nearly 10 years of product innovation and continuous adoption by leading insurance companies and distributors. RegEd, the leading provider of producer management solutions for the financial services industry, today announced a significant milestone for the company’s pioneering Xchange Alerts solution, which has processed more than 250 million data updates over nearly a decade of industry leadership and innovation. The achievement underscores the effectiveness at scale of the solution’s rules-based data reconciliation engine, which, through […]

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RegEd Announces Significant Enhancements to its Market-Leading Xchange Producer Management Solution and Strategic Rebranding to Xchange iX

Continuous Innovation and New Advancements Pioneer an Era of Autonomous Licensing in Financial Services RegEd, a leader in producer management and licensing automation, today proudly unveiled its strategic rebranding of its flagship Xchange solution to Xchange iX, ushering in a transformative era for intelligent and autonomous producer management solutions which span onboarding, licensing and appointment, and credentialing within the financial services sector. This rebranding is a testament to more than two decades of relentless innovation and sustained excellence with its flagship Xchange platform, through which RegEd continues to raise the bar for a “best-in-class” standard. The rebranding to Xchange iX—where […]

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RegEd’s Advertising Compliance Solution Surpasses 6 Million Submissions, Setting New Industry Milestone

RegEd’s Enterprise Advertising Review achieves new breakthrough in scale, fueled by continued adoption by the industry’s leading firms and groundbreaking product innovation. RegEd, the leading provider of compliance solutions for financial services firms, has announced a significant new milestone as its Enterprise Advertising Review Solution surpasses 6 million review submissions supporting more than 200 million review decisions. This new mark underscores RegEd’s unique ability to enable marketing and advertising compliance review processes at enterprise scale, with advanced capabilities including the integration of artificial intelligence (AI). RegEd’s innovation and continuous investment in Advertising Review has made it the choice for the […]

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Kaitlyn Small Appointed as Chair of SALS Steering Committee with SILA

RegEd, a leading provider of compliance and regulatory solutions for the financial services industry, is pleased to announce that Kaitlyn Small, Manager of Regulatory Compliance at RegEd, has been appointed as the new Chair of the SILA Adjuster Licensing Subgroup (SALS) steering committee. The SILA Adjuster Licensing Subgroup (SALS) serves as the premier platform for adjuster licensing education and awareness. With a steadfast commitment to offering comprehensive and accurate information, SALS caters to both Company and Independent adjusters, covering all facets of the Adjuster Licensing domain. Kaitlyn Small has been a member of the SALS steering committee since 2019, demonstrating […]

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RegEd Launches Producer Management and Licensing Automation Technology Bundle for Midsized Insurers and Distributors

Tailored Offering From the Industry Leader Enables High Efficiency for Licensing Teams and a Frictionless User Experience for Producers and Admins, Enabling Scale for Growth. RegEd, the leading provider of producer management solutions for the insurance and financial services industry, has announced the launch of a technology bundle specifically calibrated for small and midsized insurers and distributors seeking to scale their producer support function along with a growing business. This comprehensive solution, powered by the industry-leading Enterprise Xchange, will meet the unique needs of growing firms, who benefit from an all-in-one approach to producer management technology delivered by a single […]

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FINRA’s Targeted Exam Reveals Violations in Crypto Communications: What You Need to Know

FINRA recently released the results of its November 2022 targeted exam to review the practices of its member firms that actively communicate with retail customers concerning crypto assets and crypto asset-related services.  As part of this targeted exam, FINRA reviewed over 500 such communications and identified potential substantive violations of FINRA Rule 2210 in approximately 70 percent of the communications.  FINRA Rule 2210 requires that communications be fair and balanced and provide a sound basis for evaluating the facts regarding any product or service discussed.  The Rule also prohibits claims that are false, exaggerated, promissory, unwarranted, or misleading, and prohibits […]

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RegEd Launches ‘Compliance Control Center’ Technology Bundle to Deliver Best-In-Class Oversight for Midsized Broker-Dealers

New Offering From the Industry Leader Brings Together Compliance Management Capabilities Trusted by the Industry’s Largest Broker-Dealers and Delivers Them to SMBs and Growing Firms RegEd, a leading provider of compliance solutions for the financial services industry, has announced the launch of its Compliance Control CenterSM technology bundle. This comprehensive solution will meet the unique needs of SMBs and growing firms, who benefit from an all-in-one approach to compliance technology delivered by a single trusted partner. RegEd draws on its extensive experience serving the leading firms in the industry to bring together advanced compliance tools previously available only to the […]

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FINRA Announces Effective Dates for Remote Inspections Pilot, Residential Supervisory Locations and the End to Pandemic-Related Relief

FINRA has published Regulatory Notice 24-02 announcing the effective dates for the Remote Inspection Pilot Program (Pilot) and the Residential Supervisory Locations (RSLs).  In addition, they announced the end to pandemic-related regulatory relief that temporarily suspended the requirement to maintain updated Form U4 and Form BR information regarding the office of employment address for registered persons who temporarily relocated and newly opened temporary office locations or space-sharing arrangements. Remote Inspection Pilot (Pilot) ~ FINRA Rule 3110.18 The Pilot is expected to kickoff July 1, 2024 and will run through June 30, 2027.  Following are the timeframes for each Pilot Year. […]

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Year-End Considerations for Investment Adviser Representatives: Navigating Complex CE Requirements and Potential Non-Compliance Risks

As the year draws to a close, it’s crucial for Investment Adviser Representatives (IARs) and Investment Advisers (IAs) to be acutely aware of the Investment Adviser Representative Continuing Education (IAR CE) requirements and the consequences of non-compliance. This blog post aims to highlight key points on what needs to be considered as we approach year-end, focusing on CE compliance, potential administrative terminations, and strategies for addressing these challenges. Understanding the Risks of Non-Compliance with IAR CE Requirements Potential Administrative Termination for IARs Two-Year Backlog Risk: IARs who are behind on their IAR CE for two years face the risk of […]

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