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.


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 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.

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