RegEd Expands Intelligent Capabilities for its Market-Leading Advertising Compliance Review Solution

RegEd’s Application of Advanced Technology Reduces Human Intervention in the Advertising Review Process by up to 70%. 

RegEd has expanded the Submission Intelligence capabilities of its Enterprise Advertising Review solution, providing financial services firms and banks with best-in-class functionality to power their marketing, advertising and customer communications review processes. 

Enterprise Advertising Review’s Lexicon Detection automatically flags problematic keywords and phrases using firm-customized business rules while Smart DisclosuresSM detects and confirms that submission items contain the proper disclosures.

Together, the combined capabilities of Enterprise Advertising Review’s Submission intelligence and Intelligent Review modules reduce review time by more than 50%, and in some cases, by close to 80%. Scores of leading financial services firms and banks have relied on Enterprise Advertising Review to review more than 3 million marketing, advertising and customer communications.

“As the industry’s leading solution, Enterprise Advertising Review ensures the expeditious, consistent review and approval of marketing, advertising and customer communications, enabling financial professionals to attract new clients, expand their relationships with existing clients and efficiently grow their practices,” RegEd Chief Product Officer Ethan Floyd said. “RegEd’s solution continues to advance on the innovation curve, reflecting our investment in new technologies and ongoing enhancements that come from collaborating with our clients.”

Trusted by seven of the 10 largest broker-dealers in the US and two of the three largest banks, RegEd Enterprise Advertising Review:

  • Reduces human intervention by 70%
  • Increases first-touch approvals by 80%
  • Establishes 100% compliance with SEC 17(a)-4

Key Capabilities of Enterprise Advertising Review

The aggregate of RegEd Enterprise Advertising Review‘s Submission Intelligence and Intelligent Review delivers dramatic efficiencies in the review process. Mark Mashewske, Senior Product Manager with RegEd, noted, “With technology-assisted review capabilities, reviewers spend less time reading and annotating content, ultimately providing the ability for certain submissions to be automatically reviewed with recommendations provided to a reviewer.”

In addition to Lexicon Detection and Smart Disclosures, RegEd Enterprise Advertising Review helps firms work smarter and faster through advanced technology such as:

  • Advanced Workflow Management – Rules-driven, configurable workflows enable routing of submissions by defined criteria including submitter and submission attributes. Workflow configuration is unlimited and supports even the most complex review and approval processes.
  • Concurrent Annotations and Advanced Version Control Facilitates real-time collaboration among reviewers, enabling multiple reviewers to create markups and track history in a single step. All reviewers’ annotations are clearly identified on one screen before routing the submission to the next reviewer in the process.
  • Compliance SmartViewSMRegEd’s contextual review capability provides reviewers with critical, on-screen context to aid review decisions, including the financial professional’s licensure, registration, employment and outside business activities (direct from FINRA), as well as firm-defined fields such as financial designations, DBAs, social media profiles and more.

Along with its Submission Intelligence and Intelligent Review capabilities, RegEd Enterprise Advertising Review offers a streamlined user experience, complex hierarchy management, advanced indexing and searching and FINRA AREF integration. Its robust capabilities have been proven across scores of large-firm implementations and can be configured according to a firm’s work processes.

RegEd Enterprise Advertising Review can be integrated with a firm’s larger technology ecosystem as well, including leading CRM and marketing solutions. For more information about RegEd Enterprise Advertising Review or other enterprise compliance solutions from RegEd, visit:

About RegEd

RegEd is a leading provider of RegTech enterprise solutions that address Advertising Review, Conflicts of Interest, Audit Management, Compliance Disclosures, Regulatory Change Management, Onboarding, Licensing and Registration and more. RegEd works with hundreds of enterprise clients, including 80% of the top 25 financial services firms.

Established in 2000 by former regulators, the company is recognized for continuous RegTech innovation with enterprise-grade solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables clients to cost-effectively comply with regulations and continuously mitigate risk.

Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and transforming the value proposition that compliance delivers. For more information, please visit

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