For financial services firms, annual broker-dealer‑ and investment adviser registration renewals are more than a regulatory requirement; they’re a critical operational moment that directly affects business continuity, revenue protection, and client trust. With each renewal cycle, the stakes remain high. A single missed deadline or filing error can trigger avoidable fees, licensing interruptions, regulatory scrutiny, and unnecessary strain on already ‑stretched compliance teams. FINRA’s latest BD and IA Renewal Programs highlight a reality the industry knows well: even minor oversights can create outsized consequences. Yet many organizations still rely on manual, fragmented processes like spreadsheets, email threads, and adhoc follow-ups. These manual processes introduce risk, reduce visibility, and consume valuable time that could be spent […]
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Compliance Management
RegEd Unveils AI-Powered Regulatory Intelligence for Branch Inspections
Branch Examiner AssistantSM, a new embedded capability powered by Eddie AI, delivers real-time regulatory guidance, firm-specific policy alignment, and faster, more confident examinations RegEd, the leading provider of compliance solutions for financial services firms, today announced a major new AI-powered enhancement to its Branch Audit Management solution, designed to help broker-dealers conduct more efficient, consistent, and confident branch examinations. Branch Examiner Assistant is available as part of the July 2026 release. Embedded directly within the branch inspection workflow, the new feature brings real-time regulatory intelligence to examiners at the moment it is needed most. By instantly surfacing relevant FINRA and SEC rules and mapping them directly to specific inspection questions and module context, the enhancement eliminates manual research and removes […]
Continue readingMore TagInsurance Regulatory Roundup | June-July 2026
June continued the high-volume, multi-dimensional pace that has defined insurance regulation all year, and early-July activity confirms the workload is not slowing heading into the second half of 2026. At the state level, a growing number of jurisdictions moved on licensing fees, adjuster requirements, and line-of-business mandates, while a discernible trend toward higher licensing and continuing education provider fees began to take shape. On the federal side, CMS remained the dominant driver of operational compliance activity, but Treasury, OFAC, PBGC, and FinCEN each surfaced developments with direct implications for insurers’ reporting, tax, and anti-money laundering functions. And the annuity best […]
Continue readingMore TagSecurities Regulatory Roundup | June-July 2026
June reinforced the securities regulatory themes that have defined 2026: modernization, deregulation, and an increasingly assertive posture toward emerging market structures and investor protection. The SEC advanced its deregulatory agenda while sharpening its focus on investment adviser conduct; FINRA’s Board of Governors pressed forward on supervision modernization and continuing education reforms; and the NFA proposed meaningful revisions to its branch office supervision rules. Early-July activity carried these threads forward and added new ones — including reduced FINRA qualification exam retake waiting periods, expanded trade reporting hours moving the industry toward near-continuous operations, a new SEC enforcement focus on retail fraud, […]
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 TagOBA and PST Rules Could Be Consolidated: What Does It Mean for the Industry?
The Financial Industry Regulatory Authority (FINRA) is considering a significant potential change in how it governs certain areas of conflicts of interest by consolidating its rules on Outside Business Activities (OBA) and Private Securities Transactions (PST). This proposal of FINRA Rule 3290 could bring much-needed clarity and efficiency to compliance processes for member firms. Current Landscape: OBA and PST Rules At present, OBAs and PSTs are governed separately under FINRA Rules 3270 and 3280. These rules outline how registered representatives must disclose and seek approval for activities and private securities transactions outside their primary roles with their member firms. While […]
Continue readingMore TagRegEd to Showcase Compliance and Regulatory Technology Solutions at 2026 FINRA Annual Conference
RegEd, the leading provider of compliance and regulatory technology solutions for broker-dealers and financial services firms, today announced its participation in the FINRA Annual Conference, taking place May 12–14, 2026, in Washington, DC. RegEd will be exhibiting at booth #35, where attendees can explore the company’s latest innovations designed to modernize and streamline compliance operations. The FINRA Annual Conference is the industry’s premier event, bringing together regulators, compliance professionals, and financial services leaders to discuss today’s most pressing regulatory challenges and emerging trends. With over 30 sessions on trending topics, attendees gain practical guidance and insights across key areas such as regulatory compliance, […]
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 Showcases AI-Powered Innovation Across Core Compliance Processes at Engage 2026
Record attendance and new capabilities powered by Eddie highlight RegEd’s annual client conference in Fort Lauderdale, FL RegEd, the leading provider of compliance solutions for financial services firms, recently hosted its 13th annual client conference, RegEd Engage, held April 15–17, 2026 at the Marriott Harbor Beach Resort in Fort Lauderdale, Florida. RegEd Engage brought together a record number of attendees, including compliance and operations professionals from many of the nation’s leading financial services firms, for three days of collaboration, education, and strategic insight. The conference is uniquely shaped by direct client input, ensuring sessions focus on the most pressing regulatory challenges, operational priorities, and opportunities […]
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