RegEd’s industry-leading Enterprise Compliance Management Platform delivers more than 20 integrated compliance and credentialing solutions that enable automation across a wide range of critical compliance and business processes, driving operational efficiency and cost effectiveness throughout the organization. Firms that partner with RegEd are enabled to consolidate vendors and applications to reduce complexity and overall cost of ownership, simplify end-user experience, install enterprise-level reporting and dashboards, and automate data entry and workflows to reduce manual processes and human error.

Onboarding, Licensing
& Registration

The only unified solution to manage the full lifecycle of agent and advisor onboarding and compliance, delivering a seamless user experience and “clear to sell” signal for your distribution partners.


Efficiently manage requirements from FINRA, SEC, state DOI and other regulators of the financial services industry. Including Advertising Review, Conflicts of Interest, Branch Audits and more.

Regulatory Change

Everything you need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes, including managing impact on your firm’s policies and procedures.

Education &

The leading provider of Compliance Education, Product Training and Annual Compliance Programs, RegEd delivers more than one million CE courses and insurance certificates each year.


RegEd serves more than 200 enterprise clients, comprising the nation’s largest firms in financial services and beyond.


Manage compliance with State DOI requirements, licensing and appointments transactions, continuing education and more.


Manage FINRA compliance, conflicts of interest, training and more for broker-dealers, investment advisers and other securities firms.


Identify highly effective and cost-efficient strategies to manage compliance for banks, credit unions and other financial institutions.


Manage compliance and code of conduct in highly regulated industries. We also partner with self-insured employers to manage adjuster licensing and related processes.

“With RegEd our technology will deliver the resources and capabilities to enable the continued success of our business. RegEd was selected because they have the most comprehensive solution to address our broad spectrum of compliance requirements.”

– Chief Compliance Officer, Tier-1 Broker-Dealer


Thought leadership from industry and RegEd subject matter experts.

WEBINAR: Onboarding in the Digital Age / Insurance Leaders Panel

Senior business leaders discuss challenges and opportunities facing the insurance industry in the context of these changing times – including digitization of insurance; M&A and consolidation; economic uncertainty; competitive pressures; advances in technology; and of course, more regulation.

CELENT REPORT: Keeping a Grip on Employee Conduct and Conflicts of Interest

This report, authored by Neil Katkov, PhD, Head of Risk and Compliance at Celent, provides an overview of the current landscape, as well as the best practices, processes and technology that leading firms employ to optimize compliance and reduce risk.

RESOURCE CENTER: SEC’s Modernized Marketing Rule

RegEd has compiled resources on the new marketing rule, its impact on the industry, and how firms can prepare so that investment advisers can reduce non-compliance risk while growing their business.

WHITE PAPER: Insurance Agency Licensing and Compliance: New Models for New Times

Author Karlyn Carnahan, CPCD, Head of Insurance at Celent, provides an overview of challenges faced by insurers, agencies, and call centers in the licensing and compliance process, and details some of the factors to consider when deciding whether to employ fit-for-purpose technology — or whether to consider a managed services model.


Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.

Scroll to top