Compliance Management Archives

Streamline Your Annual Registration Renewal Process

Every year, financial services firms face the same critical challenge: ensuring that broker-dealer and investment adviser registrations are renewed accurately, on time, and in compliance with FINRA requirements. The stakes are higher than ever. FINRA’s 2025 BD and IA Renewal Programs highlight that errors or delays in this process aren’t just administrative headaches – they carry real financial risk, regulatory exposure, and operational strain. Manual processes for managing renewals – spreadsheets, emails, and repeated follow-ups – leave room for costly mistakes. A missed registration or incorrect submission can result in unnecessary fee payments, delayed licensing for representatives, and potential compliance […]

Don’t Fall Behind on Your Annual Branch Audit Compliance Requirements

Stay On Track for Success Now is the perfect time to assess where your branch audit program stands headed into the remainder of this calendar year. As branch office inspection requirements and regulations continue to evolve, staying ahead of the curve is more crucial now than ever. The best way to ensure you finish the year strong is to take proactive steps now to address any potential gaps and complete all required audits, to help avoid non-compliance risk, potential fines or damage to your firm’s reputation. This post will highlight some best practices for mid-year branch audit program evaluation. We’ll […]

FINRA Proposes Key Update to Gift Limits in Rule 3220: What Financial Professionals Need to Know

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 […]

FAQs for IAR CE: What to Know About NASAA’s Investment Adviser Representative Continuing Education Model Rule

Several states have adopted and implemented investment adviser representative continuing education (IAR CE) requirements, while many other states continue to join them in implementing these new requirements. Once implemented, Investment adviser representatives have until the compliance date to meet IAR CE requirements if they conduct advisory business in a state that has adopted the North American Securities Administrators Association (NASAA)’s Investment Adviser Representative Continuing Education Model Rule. As an approved IAR CE provider, RegEd answers some of the most common questions that IARs and firms have about these first-time requirements. To see a map of adopted states, visit here. Implementing […]

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 […]

RegEd 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 […]

Key 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 […]

RegEd 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, […]

RegEd 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 […]

Insurance Compliance Lifecycle: A Closed-Loop Process to Managing Regulatory Change Successfully

Each year, thousands of regulatory changes are made that could materially affect the insurance industry, and the number is rising. In any given year, more than 40,000 regulations—including legislative bills, administrative rules, bulletins, advisories, alerts, directives, and interpretive guidance—must be vetted to determine if they affect the business of insurance. According to RegEd’s internal research, there were about 2,400 new or revised state regulations enacted or adopted that directly affected the insurance industry in 2013. In 2021, there were over 3,300, an increase of almost 40%. As the number escalates, new regulations themselves are becoming more complex, especially around risk […]

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