About RegEd Compliance Alliance

RegEd’s annual conference 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: RCA features a wide breadth of regulator-led sessions, including regulators and representatives from FINRA, SEC, NAIC, NIPR and State Securities Divisions.

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

RCA 2020 Update: Coronavirus – A Message from RegEd CEO John M. Schobel

March 13, 2020

Each year the RegEd Compliance Alliance presents an invaluable opportunity for our clients to engage with each other and RegEd product experts to collaborate and convey the best practices and knowledge that enable you to strengthen your compliance program and to help you gain the most value from our partnership. Therefore, it is with great disappointment that I share that our 2020 RegEd Compliance Alliance will not go forward as planned, April 20-22 in Fort Lauderdale.

The health and wellbeing of our clients, employees and RCA presenters is our top priority and in light of the coronavirus (COVID-19) pandemic, it would not be socially responsible to go forward as planned.

RegEd will offer a full refund to all registered attendees. In response to client requests, we will also offer the option to credit your RCA 2020 registration fee toward an equivalent registration for RCA 2021. If you would like to take advantage of that option, please contact the RegEd events team (events@reged.com) by March 31st. After that time all outstanding registrations will be automatically refunded.

If you have reserved a hotel room under the RCA room block, your reservation will be automatically canceled. If you would like to reinstate your reservation, please contact the conference hotel directly. Please also contact other hotels and travel carriers to cancel other travel arrangements as needed.

Because RegEd’s Client Advisory Boards are the mainstay of our product evolution, we plan to host CAB sessions in a virtual format the week of April 20th. We also plan to deliver as much of RCA’s valuable content as possible in a virtual format and will remain in communication in the coming days as this effort takes shape.

Thank you for your understanding and continued support of RCA.

If you have any immediate questions, please contact your Account Manager.


John M. Schobel, CEO


Keynote Speaker

David Brown

Host of the hit podcast “Business Wars” from Wondery

David D. Brown is managing editor and anchor of the daily statewide public radio news hour “Texas Standard”, based at Austin NPR affiliate KUT-FM. He is former anchor of the Peabody award-winning public radio business program “Marketplace”, host of the hit podcast “Business Wars” from Wondery, and a veteran public radio journalist for more than three decades. Brown has reported national and international affairs for NPR and PRI’s Monitor Radio from bases in Atlanta, Boston, London, Los Angeles, and Washington, D.C. He has reported on location from – and anchored documentaries on – the “Rising Powers” of Brazil and India, and he is also founder and host of the award-winning cultural journalism program “Texas Music Matters”. He is a frequent contributor to NPR and his features and interviews appear on ‘All Things Considered’, ‘Morning Edition’, and many other national programs. Brown is currently completing his PhD in Journalism at The University of Texas at Austin, and is an active member of the California Bar.

RCA 2019 Highlights

FINRA, SEC and State Securities Enforcement Trends

In this session, current and former FINRA enforcement staff discussed FINRA enforcement priorities and methodologies, and examined lessons from recent cases that shed light on how firms and their employees can avoid becoming the subject of an enforcement proceeding.

Keynote 2019: Heartificial Intelligence

In this year’s keynote, John C. Havens, Executive Director, IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems, presents his recommendations for prioritizing ethical considerations in the design of autonomous and intelligent systems.

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