About RegEd Engage

RegEd Engage is our annual client conference that is shaped by the input of our clients – compliance and operations professionals from the nation’s leading financial services firms – and imparts need-to-know information and best practices to enable attendees to gain the most possible value from their RegEd partnership.

Collaborate with RegEd: Client Advisory Board (CAB) members participate in product-specific sessions to learn about new enhancements and influence the product roadmap of RegEd solutions.

Engage with Regulators: RegEd Engage features a wide breadth of regulator-led sessions, including regulators and representatives from NAIC, NIPR and State Securities Divisions, as well as thought leader updates on the latest from FINRA and the SEC.

Network with Peers: Network with 100+ compliance and operations professionals from leading financial services firms, as well as industry regulators and subject matter experts.

2025 Highlights

FINRA, SEC and State 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 discussed these regulators’ enforcement priorities and methodologies, and examine lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.

AI in Compliance: What You Need to Know

This session explores how regulatory agencies are employing AI in their oversight; how regulatory agencies are approaching the development of guidelines related to firms’ use of AI; and, the potential for AI to enhance efficiency, accuracy, and agility in compliance operations.

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