FINRA has submitted proposed amendments to Rule 3220 (Influencing or Rewarding Employees of Others) that could impact your business development and client engagement practices. These changes modernize longstanding limitations on gifts and gratuities, aiming for clarity, increased flexibility, and better alignment with current business realities. Here’s what financial professionals need to know about the proposed changes: Increased Gift Limit: $250 per Recipient, per Year The cornerstone change is an increase in the annual gift limit from $100 to $250 per recipient, per year. This better aligns with inflation and evolving industry standards. This update reflects the Board of Governors’ recommendation […]
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Compliance Management
Key Takeaways from ARM Annual Conference 2025
Our regulatory affairs team was onsite at the ARM Annual Educational Conference 2025 and gathered key insights from the sessions and discussions that took place. The conference brought together industry leaders and experts to discuss the latest developments and best practices in regulatory affairs, focusing on compliance, registration processes, continuing education, and technological advancements. Here’s a look at some of the most important takeaways from the event. Key Changes to FINRA Fees & MFA In November 2024, FINRA approved new fee increases scheduled for 2026, which will impact all registration fees. This includes the introduction of a tiered fee structure […]
Continue readingMore TagRegEd Publishes Report on the Latest Trends in Producer Management and Compliance
Based on a comprehensive survey of the insurance industry, the report reveals that firms continue to struggle with manual processes and effectively integrating their technology RegEd, the market leader in enterprise producer management solutions for the insurance and financial services industry, today announced the release of its latest whitepaper, “Producer Management and Compliance: Insights on Distribution Management Trends, Technology and Opportunities.” The whitepaper summarizes findings from RegEd’s comprehensive industry survey and delivers a clear message: manual processes and fragmented technology continue to hinder the efficiency, compliance, and scalability of producer management across the insurance and financial services sectors. Drawing responses […]
Continue readingMore TagElevating Oversight: Tracking Conditions for High-Risk Outside Business Activities
The financial industry is facing a shift in how firms manage and monitor Outside Business Activities (OBAs), especially in light of the proposed consolidation of FINRA’s OBA and PST (Private Securities Transactions) rules. While much has been discussed about the structural and supervisory changes this consolidation may bring, one aspect that’s been less explored, but is drawing increasing scrutiny, is the monitoring of conditions placed on approved OBAs. Conditional Approvals: A Growing Focus of FINRA Inquiries Anecdotal evidence suggests that FINRA is beginning to ask firms a pointed question: If you approve an OBA with conditions, how are you ensuring […]
Continue readingMore TagKey Takeaways from the FINRA 2025 Annual Conference: Embracing Change and Innovation in Financial Regulation
The FINRA 2025 Annual Conference provided a comprehensive look into the evolving landscape of financial regulation and the ongoing efforts to enhance market integrity, investor protection, and operational efficiency. Several RegEd subject matter experts, including members of our regulatory affairs team, were in attendance, and they made note of these key takeaways from the event. As the financial services industry faces new challenges and opportunities, key discussions from this year’s conference focused on modernizing regulatory practices, enhancing cybersecurity measures, and leveraging innovative technologies like AI. Here are the major insights and takeaways from the event: 1. Modernizing Regulation: Adapting to […]
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 […]
Continue readingMore TagRegEd 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 […]
Continue readingMore TagSEC 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 […]
Continue readingMore TagKey Takeaways from FINRA’s 2025 Annual Regulatory Oversight Report: What Compliance Professionals Need to Know
Each year, FINRA’s Annual Regulatory Oversight Report serves as a critical resource for compliance professionals, outlining evolving risks, regulatory expectations, and areas where firms continue to face challenges. The 2025 report reflects key developments across multiple risk areas, emphasizing third-party risk management, artificial intelligence (AI), the remote inspections pilot, outside business activities (OBA), private securities transactions (PST), and communications with the public among others. For firms, these insights are not just a review of recent findings — they offer a roadmap for where FINRA’s examiners will be focusing their attention in 2025. Below, we break down some key takeaways from […]
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