Compliance Management Archives

RegEd Recognized in InvestmentNews 5-Star Technology Awards for Innovation in Wealth Management Solutions

The industry leader’s AI-Powered Advertising Review solution earns distinction for advancing marketing compliance through automation and continuous innovation RegEd, a leading provider of compliance and technology solutions for the financial services industry, has been named to the InvestmentNews 5-Star Technology Report, recognizing the company’s innovative solutions that help wealth management firms navigate complex compliance and operational challenges. The InvestmentNews 5-Star Technology Awards recognize technology service providers across the United States, assessing how solutions address industry-specific challenges, differentiate themselves in the marketplace, and deliver measurable value to financial advisors and firms. Winners are selected through a rigorous evaluation conducted by InvestmentNews’ […]

RegEd Honored with Multiple SILA Award Nominations, Showcasing Industry Leadership in Licensing and Compliance

Two RegEd compliance experts have received nominations for advancing industry education, while RegEd has been nominated for the SILA Organization of the Year Award. RegEd, a leading provider of compliance technology solutions for the insurance and securities industries, today announced its 2025 nominations from the Securities & Insurance Licensing Association (SILA). These nominations highlight RegEd’s continued commitment to advancing licensing and registration practices in the financial services industry and underscore the company’s leadership and active participation in the SILA community. SILA’s awards program recognizes exceptional contributions from both individuals and organizations, as nominated by peers, with winners to be announced […]

Considering Joining FINRA’s Remote Inspections Pilot Program? Here’s How RegEd Can Help

If your firm is evaluating whether to opt into Pilot Year 3 of FINRA’s Remote Inspections Pilot Program, there’s a lot to weigh – and a compelling case for leveraging a specialized audit management solution. Established under FINRA Rule 3110.18, which took effect July 1, 2024, the program is a voluntary, multi-year initiative (running through June 30, 2027) that permits eligible firms to conduct required inspections remotely, under defined conditions, instead of through traditional on-site visits. Firms that do not enroll must continue to meet Rule 3110(c) obligations with in-person inspections. Participation in the pilot requires documented risk assessments, updated […]

RegEd to Participate in 2025 AICP Annual Conference

RegEd will highlight enterprise compliance solutions that enable insurers to strengthen oversight, streamline processes, and stay ahead of evolving regulatory demands. RegEd, a leader in compliance management and regulatory technology, is pleased to announce that they are a supporting partner and participant in the 2025 Association of Insurance Compliance Professionals (AICP) Annual Conference, to be held October 19-22, 2025, at the Baltimore Waterfront in Baltimore, Maryland. The AICP Annual Conference is the premier event for insurance compliance professionals, regulators, and service providers. Each year, it brings together hundreds of attendees for four days of educational sessions, regulator roundtables, and networking […]

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 […]

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