RCA Resources
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 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.
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Why Others Are Attending RCA
“As always RegEd leadership does a great job of addressing relevant topics and finding knowledgeable, interesting speakers from the industry and regulators. RegEd employees are always there to provide excellent knowledge and insight.”
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Why Others Are Attending RCA
“Good information from both RegEd and other clients. Much value in sharing best practices and current and future priorities.”
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Why Others Are Attending RCA
“I always appreciate the balance in the program between what’s new at RegEd as well as the industry as a whole, and never leave without some good takeaways.”
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Why Others Are Attending RCA
“Love the location! Great social events. Wonderful way to interact with industry peers!”
RCA 2022 Highlights
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 will discuss 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.
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 including industry consolidation, operating models, succession planning, pandemic impacts, advances in technology, and of course, more regulation.