Updates are ordered in chronological order, top to bottom, from most recent to oldest.  RegEd has not included the date each update was issued so as to avoid confusion with other dates cited by issuing agencies.

State Activity

Developments from State Departments of Insurance and Securities as well as other state-based agencies.

Federal Activity

Developments from the SEC, FINRA, MSRB, and other federal regulatory agencies.


Testing Administration Updates

Developments from test administration companies.

How RegEd Can Help

The RegEd team and our solutions can help you keep your compliance and credentialing program running at the highest level during this uncertain time.

Regulatory Change Management

There are more than 5,000 insurance and securities regulatory changes each year…and now add the volume of COVID-19 related updates. Our Enterprise Regulatory Change Management solution delivers fully analyzed updates to your desktop and provides the most efficient means of managing the implementation of new requirements. Learn More

Branch Audit Management

Enterprise Branch Audits

RegEd’s Enterprise Branch Audit Management is the industry’s most fully featured and flexible onsite and remote branch audit solution. The solution includes the ability to efficiently conduct and manage virtual branch exams and ensure a closed-loop on any needed remediation. Learn More

Advertising Review

Advertising and Customer Communications Review

A more challenging macroeconomic environment may affect asset-based and advisory fees. Reps/advisors and their firms will focus on growing AUM, which will drive focused marketing efforts, increasing volume of marketing and communications, requiring swift compliance review to ensure timely release. Learn More

Annual Compliance Meeting On-Demand

As firms move to virtual self-study for their annual compliance meeting, RegEd can help with our Annual Compliance Meeting On-Demand, featuring a large course library and the ability to convert client content to online self-study courses. Learn More

Live CE

Live CE Program Management

As more states allow a webinar format for Live CE programs, RegEd is in step to support our clients. RegEd’s Live CE Program Management solution enables insurance companies to easily and efficiently host their live CE program via webinar. Learn More

Policies and Procedures Management

Rapidly evolving work models, unforeseen business continuity requirements and third party management needs will spawn massive changes to firms’ policies and procedures. RegEd’s Enterprise Policies and Procedures Management delivers a highly systematized process to manage the creation, approval, dissemination and attestation of new and updated corporate, BCP and regulatory-driven policies. Learn More

Employee Compliance and Conflicts of Interest

The pandemic and its longer-term impacts increase the potential for bad actors, making it critical to ensure employee compliance with the firm’s policies and regulations through strong, technology-enabled processes and oversight. RegEd’s Enterprise Employee Compliance and Conflicts of Interest solutions enable firms to fully manage requests and approvals associated with potential conflicts of interest. Learn More

Regulatory Change Management

Complaints Management

In this unprecedented circumstance, firms are receiving record numbers of customer inquiries and complaints. RegEd’s fit-for-purpose Enterprise Complaint Management solution can ease this burden, enabling precise and systematized management of complaints and inquiries, ensuring each loop is closed and helping to preserve and protect the firm’s reputation. Learn More

Policies and Procedures

Onboarding and Xchange for Call Centers

The world has gone “remote”, at least temporarily. Need to ramp up your call center with registered and/or licensed and appointed individuals? RegEd’s market-leading Enterprise Xchange Onboarding, Licensing and Registration technology and expert solutions professionals can help you develop a comprehensive program that speeds time to market for call center employees. Learn More

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