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 […]
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Compliance Management
Securities 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 […]
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 TagIntroducing Submission Search: Faster, Smarter, Audit-Ready Insight Across All OBA Requests
In today’s environment of higher scrutiny, tighter timelines, and growing supervisory obligations and expectations, firms need better visibility and faster access to the full story behind both recent and historical OBA requests. That’s why RegEd is introducing Submission Search – a powerful new way to search across all OBA submissions. Built directly from our client feedback, it’s one of several major enhancements on our product roadmap designed to strengthen oversight, improve productivity, and support repeatable, defensible compliance decisions. The Industry Problem: Compliance Teams Need Answers Fast Whether responding to a regulatory inquiry, reviewing potential conflicts, or ensuring consistency in decision-making, compliance teams face a common set of challenges: RegEd’s OBA solution provides a centralized way to […]
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