New pre-review capability, RegEd PreCheckSM powered by Eddie AI, helps broker-dealers identify compliance risk and improve content quality before formal compliance review begins. RegEd, the leading provider of compliance solutions for financial services firms, today announced the launch of AI Compliance PreCheck for Broker-Dealers, a new capability within its AI-Powered Advertising Review solution. By embedding AI-driven compliance intelligence earlier in the advertising content lifecycle, AI Compliance PreCheck enables firms to quickly identify potentially problematic language, validate required disclosures, and receive AI-driven revision suggestions before materials are formally submitted for compliance review. As regulatory expectations continue to evolve and marketing teams move faster across digital channels, broker-dealers face growing pressure to balance speed-to-market with consistent compliance oversight. In this […]
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Advertising Review
RegEd to Exhibit at the 2026 Investment Adviser Compliance Conference Hosted by the Investment Adviser Association
RegEd, a leading provider of compliance technology solutions for financial services firms, announced today that it will be a proud exhibitor at the Investment Adviser Compliance Conference, hosted by the Investment Adviser Association, taking place March 18–20, 2026, in Washington, D.C. The annual conference brings together hundreds of compliance professionals, legal experts, regulators, and industry leaders from across the investment adviser community to discuss the evolving regulatory landscape and share practical strategies for maintaining effective compliance programs. The event features sessions led by SEC officials, industry professionals, and legal experts, offering attendees the latest insights on regulatory developments and compliance best practices. At the conference, RegEd will exhibit at booth #2 and showcase its […]
Continue readingMore TagSEC Issues New Risk Alert on Adviser Marketing Rule Compliance: What Firms Need to Know
On December 16, 2025, the SEC’s Division of Examinations released a new Risk Alert, “Additional Observations Regarding Advisers’ Compliance with the Advisers Act Marketing Rule,” offering fresh insight into how investment advisers are struggling to meet the rule’s requirements – particularly when using testimonials, endorsements, and third-party ratings. The Risk Alert builds on prior guidance and reflects deficiencies identified during recent examinations. The SEC’s message is consistent and direct: Marketing Rule compliance remains an examination priority, and advisers should reassess not only their disclosures, but also the policies, procedures, and oversight frameworks that support their marketing activities. Key Observations: Testimonials and Endorsements While the Marketing Rule […]
Continue readingMore TagKey Takeaways from the 2025 NSCP National Conference
AI Governance, Conflict Management, Marketing Compliance & the Next Era of Supervision The 2025 NSCP National Conference made one thing clear: the regulatory landscape isn’t simply evolving – it is accelerating. Compliance leaders across the industry gathered to discuss how rapid advances in technology, including artificial intelligence, are reshaping business operations, regulatory expectations, and the core workflows of modern compliance teams. Where past years focused on adoption and awareness, this year shifted decisively toward execution, governance, and demonstrable controls in place to ensure compliance, such as ‘human in the loop’ for AI. Regulators now expect firms to not only use […]
Continue readingMore TagYear-End Reminder: Ensure IAR CE Compliance Before the CRD/IARD Renewal Shutdown
As the calendar year draws to a close, it’s essential for Investment Adviser Representatives (IARs) and their firms to take a proactive approach toward meeting continuing education (CE) obligations. With the annual FINRA CRD/IARD Renewal Shutdown scheduled to begin on December 26, 2025, and more states than ever enforcing IAR CE requirements – including Illinois, which goes live in 2026 – compliance teams face growing complexity and shrinking timelines to ensure every IAR remains in good standing. Failing to complete CE requirements before the shutdown can trigger serious consequences – from administrative terminations and client reassignments to lost compensation eligibility […]
Continue readingMore TagRegEd to Exhibit Enterprise Compliance Solutions at 2025 NSCP National Conference
The industry leader will highlight AI innovation and a comprehensive suite of compliance solutions for financial services firms RegEd, the leading provider of regulatory technology solutions to the financial services industry, is a proud Platinum Member Ally and exhibitor of the 2025 National Society of Compliance Professionals (NSCP) National Conference, taking place October 26-29 in Orlando, FL. Visit RegEd at Demo Stand #11 in the main exhibit hall to connect with the team and experience hands-on demonstrations of the company’s industry-leading solutions. The annual NSCP National Conference is recognized as one of the most comprehensive educational offerings for compliance professionals […]
Continue readingMore TagRegEd Recognized in InvestmentNews 5-Star Technology Awards for Innovation in Wealth Management Solutions
The industry leader’s AI-Powered Advertising Review solution earns distinction for advancing marketing compliance through automation and continuous innovation RegEd, a leading provider of compliance and technology solutions for the financial services industry, has been named to the InvestmentNews 5-Star Technology Report, recognizing the company’s innovative solutions that help wealth management firms navigate complex compliance and operational challenges. The InvestmentNews 5-Star Technology Awards recognize technology service providers across the United States, assessing how solutions address industry-specific challenges, differentiate themselves in the marketplace, and deliver measurable value to financial advisors and firms. Winners are selected through a rigorous evaluation conducted by InvestmentNews’ […]
Continue readingMore TagRegEd to Participate in 2025 AICP Annual Conference
RegEd will highlight enterprise compliance solutions that enable insurers to strengthen oversight, streamline processes, and stay ahead of evolving regulatory demands. RegEd, a leader in compliance management and regulatory technology, is pleased to announce that they are a supporting partner and participant in the 2025 Association of Insurance Compliance Professionals (AICP) Annual Conference, to be held October 19-22, 2025, at the Baltimore Waterfront in Baltimore, Maryland. The AICP Annual Conference is the premier event for insurance compliance professionals, regulators, and service providers. Each year, it brings together hundreds of attendees for four days of educational sessions, regulator roundtables, and networking […]
Continue readingMore TagRegEd Launches RIA Compliance Control Center to Streamline Oversight for Registered Investment Advisers
All-in-one solution centralizes and automates compliance across key regulatory obligations, enabling greater efficiency and risk mitigation for RIAs RegEd, the leading provider of compliance and credentialing solutions for the financial services industry, has announced the launch of the RIA Compliance Control CenterSM, a purpose-built solution that enables registered investment advisers (RIAs) to streamline supervision and enhance oversight across the full spectrum of compliance activities. With increasing regulatory complexity and resource constraints, RIAs face mounting pressure to manage compliance obligations more efficiently while maintaining rigorous oversight. RegEd’s RIA Compliance Control Center empowers firms to meet these challenges head-on with a centralized, […]
Continue readingMore TagRegEd Advances Next-Generation AI Capabilities of Its Industry-Leading Advertising Compliance Review Solution
Version 3.0 of RegEd’s proprietary AI model sets a new industry standard for accuracy, security, and innovation in compliance technology RegEd, the leading provider of compliance solutions for the financial services industry, today announced the release of Version 3.0 of the proprietary AI model that powers its Advertising Review solution. This marks a significant milestone in the evolution of RegEd’s Submission Intelligence suite of capabilities and underscores the company’s leadership in enterprise-grade, AI-enabled compliance technology. Less than a year after being the first to deliver enterprise-ready AI for advertising compliance, RegEd has introduced its third-generation model, setting a new benchmark […]
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