News Archives

RegEd Recognized by SILA Foundation for Contributions to Education Advancement

RegEd, the leading provider of Licensing and Registration technology solutions to the financial services industry, today announced that it will be recognized for its ongoing commitment to the advancement of education and support of the SILA Foundation, an education-focused non-profit organization. In commemoration of RegEd’s support, the SILA Foundation will issue an academic scholarship for 2017 in RegEd’s name. In addition, Ann Robinson of RegEd has been named Chair of the SILA Foundation Promotions Committee. The scholarship will benefit a designated student with $2,500 for use at an accredited post-secondary college or university. It comes in recognition of RegEd’s 2016 […]

RegEd to Feature Enterprise Compliance Solutions for the Banking Industry at the ABA Regulatory Compliance Conference 2017

RegEd, the leading provider of compliance technology to banks, broker-dealers and insurance companies, is pleased to announce its participation in the American Bankers Association Regulatory Compliance Conference 2017. The event will be held June 11-14 in Orlando, FL. RegEd will feature solutions that address critical compliance challenges for the banking industry, including key areas of regulator focus. “Banks must navigate economic headwinds, regulatory uncertainty and an increasingly unforgiving enforcement environment placing them under pressure to drive operational efficiency and install effective compliance oversight,” commented Debra Freitag, RegEd Chief Strategy Officer. “RegEd has partnered with leading banks to meet critical compliance […]

RegEd Reaches New Milestone with More than 250000 Registered Reps Reporting Outside Business Activities and Compliance Disclosures Through its Enterprise Platform

RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, today announced that it has surpassed 250,000 registered reps reporting outside business activities and compliance disclosures through its enterprise platform, representing 50% of the registered rep population across firms with over 100 reps. The firm has achieved this milestone through its unique capacity to support complex hierarchies and multidimensional approval processes. RegEd’s Enterprise Outside Business Activities / Compliance Questionnaires solution is used by hundreds of industry firms, including 80% of the top 25 broker-dealers. A module of RegEd’s fully integrated Conflicts of Interest […]

RegEd to Showcase Enterprise Compliance Solutions at FINRA Annual Conference

RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation at the 2017 FINRA Annual Conference in Washington, DC, May 16-18, 2017. FINRA's annual conference provides securities industry practitioners with guidance on regulatory priorities and addresses the compliance and regulatory issues investment advisers and broker-dealers face in today's evolving industry with interactive forums led by experienced industry veterans and regulators. RegEd's CEO & Founder, John M. Schobel stated, "The FINRA Annual Conference provides an important forum for regulators, industry firms and solution providers, like RegEd, to engage in dialog […]

RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Charleston, SC

Compliance, licensing and registration, and operations professionals from the financial services industry will gather at the fifth annual RegEd Compliance Alliance (RCA) conference to share best practices, build critical knowledge across a range of topics, and interact with regulators and industry experts. The event will be held April 18-20 in Charleston, SC, and will be hosted by RegEd, a leading provider of compliance, education, and licensing and registration solutions to banks, broker-dealers, insurance companies and other financial services firms. The conference includes substantive sessions, panel discussions and expert presentations on topics ranging from FINRA and SEC Enforcement Trends to Creating […]

RegEd to Welcome Regulators and Notable Compliance and Operations Experts to its Annual Client Conference in Hilton Head SC

Compliance, licensing and registration, and operations professionals from the financial services industry will gather at the sixth annual RegEd Compliance Alliance (RCA) conference to share best practices, build critical knowledge across a range of topics, and interact with regulators and industry experts. The event will be held May 1-3 in Hilton Head, SC, and will be hosted by RegEd, a leading provider of compliance, education, and licensing and registration solutions to banks, broker-dealers, insurance companies and other financial services firms. The conference includes substantive sessions, panel discussions and expert presentations on topics ranging from FINRA and SEC Enforcement Trends to […]

RegEd Named CE Quality Partner by CFP Board

RegEd has been named a “CFP Board CE Quality Partner” after successfully meeting criteria established by Certified Financial Planner Board of Standards Inc. (CFP Board). As a CE Quality Partner, RegEd has demonstrated a commitment to developing continuing education (“CE”) programs that meet a high set of standards outlined by CFP Board. To achieve and maintain status as a CE Quality Partner, RegEd agreed to have a random number of self-study and live programs reviewed against a rigorous evaluation rubric developed by CFP Board’s Council on Education. RegEd is now one of only nine CE Sponsors listed on CFP Board’s […]

RegEd to Showcase Enterprise Compliance Solutions at FSI OneVoice Conference

RegEd, the leading provider of compliance technology solutions to broker-dealers and other financial services firms, is pleased to announce its participation in the Financial Services Institute (FSI) OneVoice conference in San Francisco, CA, January 23-25, 2017. The FSI OneVoice conference is an educational forum for broker-dealer home office executives. This year’s event will offer more than 25 sessions on topics including DOL fiduciary rule compliance, cybersecurity, and managing regulatory change, regulatory exams and policies and procedures. Presenters and panelists include regulators, senior executives from leading financial services firms and industry subject matter experts. During the conference RegEd will showcase a […]

RegEd Announces Program for Sixth Annual Client Conference in Hilton Head Island SC

RegEd, the leading provider of compliance technology solutions to the financial services industry, is pleased to announce that the annual RegEd Compliance Alliance (RCA) client conference will be held in Hilton Head Island, SC, May 1-3, 2017. RCA 2017 will provide executives and senior managers from Compliance, Risk Management, Legal, Governance and Operations, including Licensing and Registration professionals, with the unique opportunity to share best practices, build critical knowledge, and engage with regulators and industry experts. The conference program is focused on the theme, Enabling a Culture of Compliance. “In this environment it’s not enough to ‘check the box’ on […]

RegEd Selected as Best in Class Solution for 1st Global’s Enterprise Empowerment Initiative

RegEd, the leading provider of enterprise Compliance Management, Licensing and Registration and Compliance Education solutions, has announced a partnership with 1st Global, an independent wealth management partner to exceptional CPA firms, to be a part of the company’s Enterprise Empowerment Initiative (EEI). 1st Global recently announced a firm-wide overhaul of its technology infrastructure and RegEd solutions will serve as a key component for the initiative and drive efficiency across a range of critical business processes. After an extensive due diligence process, 1st Global selected RegEd to manage advertising compliance, registration renewal, firm element training, outside business activities reconciliation, personal securities […]

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