RegEd 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, […]

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RegEd 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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RegEd to Showcase Enterprise Compliance Solutions at 2025 FINRA Annual Conference 

Attendees Will Gain Insight Into the Future of Compliance Technology at the Industry’s Premier Regulatory Event  RegEd, the leading provider of compliance and regulatory technology solutions for broker-dealers and financial services firms, is pleased to announce its participation in the 2025 FINRA Annual Conference, taking place May 13–15 in Washington, DC. RegEd will exhibit at kiosk #35 in the exhibit hall and host a client reception on Monday, May 12.  The FINRA Annual Conference is a cornerstone event for compliance professionals, offering critical updates on regulatory developments and the opportunity to engage directly with FINRA leaders, industry peers, and solution […]

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SEC Issues New Guidance on IA Marketing Rule: Key Takeaways for Compliance and Marketing Teams

On March 20, 2025, the U.S. Securities and Exchange Commission (SEC) issued additional guidance on its Investment Adviser Marketing Rule, clarifying longstanding gray areas that have challenged compliance teams and marketing departments alike. While the new FAQs provide helpful interpretations, they may also necessitate revisions to existing advertising materials, especially for firms promoting performance metrics. Key Highlights of the New SEC Guidance The Marketing Rule, originally adopted in 2020, has transformed the landscape for investment adviser advertising, consolidating decades-old advertising regulations into a modernized framework. Yet, some provisions remained open to interpretation. The SEC’s latest guidance specifically addresses how advisers […]

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RegEd to Spotlight AI-Driven Advertising Compliance Solutions as Platinum Sponsor at 2025 IAdCA Conference 

RegEd, the leading provider of compliance technology solutions to the financial services industry, is proud to announce its platinum-level sponsorship at the 2025 Insurance Advertising Compliance Association (IAdCA) Conference, scheduled for April 2-4 in Charleston, SC. RegEd will present cutting-edge advancements in AI and advertising compliance during a special 15-minute demonstration on Thursday, April 3. Mark Mashewke, Principal Product Manager at RegEd, will lead the session, titled “AI and Advanced Technologies: Revolutionizing Advertising Compliance and Accelerating Market Readiness.” Mashewske will demonstrate how RegEd’s solutions leverage AI and advanced workflow automation to streamline the advertising compliance review process and accelerate time-to-market. […]

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RegEd to Showcase Industry-Leading Compliance Solutions at the 2025 IRI Annual Conference

RegEd Thought Leaders to Present on Enabling Real-Time “Clear to Sell” in a Dynamic Compliance Environment RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will be a sponsor and exhibitor at the 2025 IRI Annual Conference, taking place March 26-28 at the JW Marriott Tampa. RegEd will exhibit at Booth #3, where attendees can learn how the company’s enterprise solutions streamline compliance and empower insurers to accelerate producer onboarding and sales readiness.  The IRI Annual Conference convenes leaders from across the insured retirement industry, offering key insights into regulatory developments, technology advancements, and best […]

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RegEd Expands AI Capabilities with Launch of New AI-Powered Media Transcription for Advertising Compliance Review

New capability streamlines the compliance review process for multi-media content, enhancing efficiency, accuracy and time-to market for sales and marketing materials.  RegEd, the leading provider of compliance solutions for financial services firms, today announced the launch of media transcription capabilities within its AI-powered advertising review solution. This new feature enables firms to seamlessly review multimedia content—such as videos, webinars, and podcasts—by automatically transcribing audio and video files and applying AI-enabled compliance analysis as part of a seamless, fully integrated workflow.  As firms increasingly leverage digital media to engage clients, regulatory expectations for compliance oversight remain stringent and continue to evolve. […]

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RegEd Continues Expansion of Audit Management Capabilities in Support of FINRA’s Remote Inspections Pilot Program 

New enhancements empower firms to streamline branch inspections, improve oversight, and ensure compliance—whether they participate in the pilot program or not.  RegEd, the leading provider of RegTech enterprise solutions, has announced significant enhancements to its Audit Management solution to support the requirements of FINRA’s Remote Inspections Pilot Program, which began July 1, 2024. These enhancements enable firms to efficiently plan, track, and manage inspections—whether they opt into the pilot program or continue with traditional onsite inspections—while ensuring compliance with FINRA Rule 3110.18.  FINRA’s three-year Remote Inspections Pilot Program allows eligible firms to conduct branch office inspections remotely instead of through […]

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RegEd’s Advertising Compliance Solution Surpasses 7 Million Submissions, Marking Another Industry Milestone

RegEd’s AI-Powered Enterprise Advertising Review continues to set the standard for marketing and advertising compliance in financial services through market-leading innovation and widespread industry adoption.  RegEd, the leading provider of compliance solutions for financial services firms, has reached a new milestone as its Enterprise Advertising Review Solution surpasses 7 million submissions, representing more than 13.1 million review decisions and more than 16 million submitted review items. This achievement reinforces RegEd’s unmatched capability to streamline advertising compliance processes at scale, driven by advanced technology including artificial intelligence (AI).  RegEd’s innovation and continuous investment in Advertising Review, including the successful launch of […]

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RegEd to Exhibit Enterprise Compliance Solutions at 2024 NSCP National Conference

Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. As the leading provider of regulatory technology solutions to the financial services industry, RegEd is a Platinum Member Sponsor and will exhibit its enterprise compliance platform at the 2024 National Society of Compliance Professionals (NSCP) National Conference in Dallas, TX, on Oct. 27-30. The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to broker-dealers, investment advisers, private funds, and investment companies, and has […]

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