Compliance solutions for broker-dealers, investment advisers and other securities firms to manage FINRA compliance, conflicts of interest, training and more.

Onboarding, Licensing
& Registration

The only unified solution to manage the full lifecycle of agent and advisor onboarding and compliance, delivering a seamless user experience and “clear to sell” signal for your distribution partners.


Efficiently manage requirements from FINRA, SEC, state DOI and other regulators of the financial services industry. Including Advertising Review, Conflicts of Interest, Branch Audits and more.

Regulatory Change

Everything you need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes, including managing impact on your firm’s policies and procedures.

Education &

The leading provider of Compliance Education, Product Training and Annual Compliance Programs, RegEd delivers more than one million CE courses and insurance certificates each year.

Securities firms are under pressure to identify highly effective and cost-efficient strategies to manage compliance and registration requirements across the enterprise. A simplified user experience, from onboarding to managing day-to-day requirements, increases rep satisfaction.


Thought leadership from industry and RegEd subject matter experts.

WEBINAR: Broker-Dealer Presidents Roundtable

Senior business leaders from top broker-dealers discuss some of the challenges and opportunities facing the industry in the context of these changing times. Topics discussed include regulation, operating models, distribution and sales processes, data and digitization, product changes, and service model enhancements.

WEBINAR: Branch Inspections: Enforcement Trends, Regulatory Developments and the Latest Best Practices

Overview of the latest regulatory developments in this area, including FINRA’s extension of the remote option and how it is expected to evolve going forward. Panelists also review practical challenges and opportunities facing audit teams.

WEBINAR: FINRA, SEC and State Securities Enforcement Trends

FINRA, the SEC and state regulators have stepped up enforcement efforts in recent years, resulting in unprecedented sanctions. This panel of compliance and legal experts discuss these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases and examination sweeps that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.

CELENT REPORT: Marketing Compliance in the Financial Services Industry

This report, authored by Neil Katkov, PhD, Head of Risk & Compliance at Celent, provides an overview of the different challenges faced by the financial services industry in regards to marketing and advertising compliance.


Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.

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