RegEd to Exhibit Industry-Leading Advertising Compliance Solution at 2022 IAdCA Annual Conference

RegEd will present its Enterprise Advertising Review solution at the Insurance Advertising Compliance Association’s 2022 Annual Conference. The IAdCA conference offers insurance industry professionals an opportunity to network and gain insight and understanding of insurance advertising compliance issues and trends. Conference attendees will hear from subject matter experts and state departments of insurance on advertising filing procedures, potential advertising violations, state advertising regulations, and what is expected of companies doing business in those states. Attendees will have the opportunity to exchange ideas and best practices to meet legal, compliance, and marketing requirements for marketing materials. RegEd’s Enterprise Advertising Review RegEd […]

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RegEd’s Advertising Compliance Solution Tops 4 Million Submissions

Adoption by seven of the top 10 broker-dealers and dozens of other financial services firms drives RegEd’s Enterprise Advertising Review past new milestone Significant investment in R&D and product innovation for RegEd’s market-leading Enterprise Advertising Review has resulted in the most rapid adoption by leading financial services firms in the solution’s history. Total submissions increased by more than 35% in 2021, enabling the ad compliance solution to recently surpass 4 million submissions since its inception – only a year after it exceeded 3 million submissions. The rapidity with which Enterprise Advertising Review achieved its latest milestone affirms RegEd’s unique capacity […]

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RegEd Achieves Record Growth in 2021 Fueled by Product Innovation and New Enterprise Customer Acquisition

Industry’s leading provider of compliance, licensing, and credentialing automation, delivers record bookings and double-digit increase in revenue; Gears up for the future with further investment in advanced technologies. RegEd, the leading provider of RegTech solutions to broker-dealers, insurance companies, insurance brokers, and banks, today announced results from the most successful year in the company’s history. RegEd achieved record growth in 2021, highlighted by a 42% year-over-year increase in organic new annual recurring revenue (ARR) bookings and 34% organic growth over the prior year in annual recurring revenue.   While RegEd’s growth continues to be fueled by constants such as heightened […]

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SEC Continues to Update Rules for Investment Adviser Marketing

Investment adviser marketing has taken another step into the present now that the SEC has announced it is withdrawing or modifying over 200 staff letters and guidance statements related to the decades-old IA Advertising and Cash Solicitation Rules. Most of the no-action relief letters being withdrawn are related to issues that are now covered in the SEC’s modernized IA Marketing Rule. “It’s no wonder IAs have been so challenged under the old Advertising and Cash Solicitation Rules since they had to manage so many exceptions to the actual rules. It would be helpful if the SEC would share a list […]

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RegEd to Showcase Enterprise Compliance Solutions at 2021 NSCP National Conference

As the leading provider of regulatory technology solutions to the financial services industry, RegEd will exhibit its enterprise compliance platform at the 2021 National Society of Compliance Professionals (NSCP) National Conference in National Harbor, Md., on Nov. 8-10. The annual NSCP National Conference offers dozens of sessions covering topics that are relevant to investment advisers, broker-dealers, private funds, and investment companies, and has been recognized as one of the most comprehensive educational offerings within the securities compliance industry. This year, “the only conference that’s ‘for compliance, by compliance,’” will focus on “the practical solutions to empower yourself and your compliance […]

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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 […]

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Documentation and Compliance Key in FINRA Sweep Exams of Options Accounts

Broker-dealers need to document their firm’s processes for supervising options trading and demonstrate compliance with them in new FINRA sweep exam on option accounts. The industry self-regulator is conducting targeted examinations of broker-dealers’ supervision of options trading as part of its ongoing efforts to protect retail investors. FINRA CEO Robert Cook had indicated in July that the sweep would be coming and the regulator followed through shortly thereafter, releasing its Targeted Examination Letter on Option Account Opening, Supervision, and Related Areas in early August. “Options are tricky and can be difficult to understand for certain investors. Even registered representatives recommending […]

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RegEd will Present Enterprise Compliance Solutions for Banks at the ABA Regulatory Compliance Conference

RegEd will showcase its enterprise compliance platform for banks at the American Bankers Association’s Regulatory Compliance Conference, which will be held virtually from June 22-24. The National Conversation on Compliance will provide participants with in-depth regulatory analysis, benchmarking data from across the industry, and practical implementation strategies for current compliance challenges. The ABA Regulatory Compliance Conference includes sessions on timely topics such as: Leading Practices in Assessing and Mitigating UDAAP Risk Reviewing Your Compliance Policies and Procedures for the New Environment Customer Communications Compliance Navigating Virtual Examinations The Future of Regulation The conference will also include a virtual marketplace with […]

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RegEd Reaches 3 Million Submissions Reviewed on its Enterprise Advertising Review Solution

Adoption by scores of financial services firms, including 7 of the top 10, fueled exponential growth in volume over the last two years. RegEd, the leading provider of RegTech solutions to the financial services industry, today announced that Enterprise Advertising Review, an advanced technology solution that automates the advertising compliance review process, has processed more than 3 million submissions to date. Regulators such as the SEC and FINRA are highly focused on marketing, advertising, and customer communications to ensure that they are fair, balanced, and not misleading, as well as compliant with regulatory rules. A major challenge for financial services […]

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Advertising Review: Is Your Marketing Collateral Review Process 17a-4 Compliant

RegEd’s Advertising Review solution is built to support firm’s marketing collateral approval process. In addition to robust workflows, Advertising Review is designed with compliance in mind including Worm and D3P support per SEC requirements. Many regulations imposed by FINRA and the SEC have to do with the archiving of electronically stored information (ESI). Therefore, to ensure compliance firms are required to archive all necessary ESI. However, just archiving the data is not enough. SEC Rule 17a-4 mandates it must be archived in the proper format to meet compliance standards. Write Once Read Many (WORM) WORM describes a data storage device […]

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