RegEd will highlight Eddie and solutions supporting advertising review, branch examinations and other critical compliance processes at Demo Stand #50 RegEd, a provider of regulatory technology solutions to the financial services industry, announced its participation as an exhibitor at the 2026 National Society of Compliance Professionals (NSCP) National Conference, taking place October 25–28 in Orlando, Florida. Attendees are invited to visit Demo Stand #50 to connect with the RegEd team and explore the company’s enterprise compliance solutions. The annual NSCP National Conference is recognized as one of the most comprehensive educational offerings for compliance professionals in the securities industry, with […]
Continue readingMore TagTag: Advertising Review
Advertising Review
RegEd to Showcase AI-Powered Advertising Review Innovations at the 2026 FINRA Advertising Regulation Conference
Attendees can visit Kiosk #5 to explore technology designed to accelerate advertising review, improve consistency and strengthen compliance oversight RegEd, a leading provider of compliance technology solutions to the financial services industry, today announced that it will exhibit at the 2026 FINRA Advertising Regulation Conference, taking place October 15–16 in Washington, D.C. The conference brings together communications compliance and marketing professionals for discussions of new rules, regulatory priorities, effective practices and emerging technologies. Attendees will also have opportunities to participate in advertising review workshops, attend technology demonstrations and engage with industry peers and FINRA Advertising Regulation Department staff. RegEd will […]
Continue readingMore TagRegEd to Participate in 2026 AICP Annual Conference
RegEd will highlight enterprise compliance solutions that help insurers strengthen oversight, streamline processes and respond effectively to evolving regulatory requirements. RegEd, a leader in compliance management and regulatory technology, is pleased to announce its participation as a Supporter of the 2026 Association of Insurance Compliance Professionals (AICP) Annual Conference, taking place October 10–13 in Louisville, Kentucky. The 2026 AICP Annual Conference will bring together insurance compliance professionals, regulators and industry leaders for four days of education, insights and networking. Centered on the theme “Compliance: Guiding the Future, Grounded in History,” the conference will explore emerging trends and current compliance challenges […]
Continue readingMore TagRegEd Named to Selling Power Magazine’s 60 Best Companies to Sell For 2026 List
Recognition highlights RegEd’s investment in its sales organization, culture of continuous improvement, and commitment to delivering value for clients across the financial services and insurance industries RegEd, the market-leading provider of RegTech enterprise solutions for the financial services and insurance industries, today announced it has been included on Selling Power’s 60 Best Companies to Sell For 2026 list. The annual ranking recognizes organizations that have built exceptional environments for sales professionals to grow, thrive, and deliver measurable impact for their customers. Inclusion on the 60 Best Companies to Sell For list reflects RegEd’s sustained investment in its people, processes, and […]
Continue readingMore TagRegEd Expands AI-Powered Advertising Review to Support SEC Compliance for Investment Advisers
Powered by RegEd’s Eddie AI Compliance Assistant, expanded coverage adds the SEC Marketing Rule and related investment adviser requirements to existing FINRA support — delivering the industry’s most comprehensive scope of securities advertising compliance. RegEd, the leading provider of compliance solutions for financial services firms, today announced the expansion of its AI Compliance Assistant, powered by Eddie, to support investment adviser advertising compliance within its Advertising Review solution. The expansion extends Eddie’s existing AI-driven coverage across broker-dealer and FINRA frameworks to evaluate investment adviser materials against SEC Rule 206(4)-1, the SEC’s modernized Marketing Rule — giving firms, particularly dual registrants, […]
Continue readingMore TagRegEd Introduces Smart Licensing to Automate Initial Nonresident Licensing for Producers and Adjusters
New solution eliminates manual, state-by-state licensing processes and enables organizations to scale without additional staff RegEd, the market leader in compliance, credentialing, and regulatory intelligence solutions for the insurance and financial services industries, today announced the launch of Smart Licensing, the industry’s first automated solution for initial nonresident licensing of both producers and adjusters. Part of RegEd’s Smart Automation suite within the Xchange Licensing and Registration Platform, Smart Licensing replaces manual, state-by-state licensing work with a fully automated, rules-driven process. Using customer-defined business rules based on factors such as title, region, and cost center, Smart Licensing automatically determines when and where non-resident licenses should be obtained – without human intervention. These capabilities are unified through […]
Continue readingMore TagRegEd Expands AI-Powered Advertising Review with the Launch of AI Compliance PreCheck for Broker-Dealers
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 […]
Continue readingMore TagRegEd 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 Tag