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.
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.
Women in Leadership
This panel discussion focused on the career paths and experiences of women in leadership roles within the financial services industry. Panelists shared their insights on how they reached their current positions and the challenges and opportunities they have faced along the way. The session also focuses on the importance of mentorship and role models for women in the field.