PROVEN COMPLIANCE SOLUTIONS FOR BROKER-DEALERS

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.

Compliance
Management

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
Management

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 &
Training

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.

FEATURED RESOURCES

Thought leadership from industry and RegEd subject matter experts.

WEBINAR: CEO Roundtable: Operating in a Post-Pandemic World

Presidents and CEOs from leading insurance-based broker-dealers discuss some of the challenges and opportunities facing the industry in the context of these changing times.

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: Technology Innovations to Streamline Compliance

Advancements in technology in the compliance realm have been rapidly increasing each year. Our panel attempts to demystify these concepts and discusses practical applications of emerging technologies, their potential impacts to compliance and provide best practice considerations.

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.

CONTACT US

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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