Conflicts of Interest Archives

RegEd to Exhibit at the 2026 Investment Adviser Compliance Conference Hosted by the Investment Adviser Association

RegEd, a leading provider of compliance technology solutions for financial services firms, announced today that it will be a proud exhibitor at the Investment Adviser Compliance Conference, hosted by the Investment Adviser Association, taking place March 18–20, 2026, in Washington, D.C. The annual conference brings together hundreds of compliance professionals, legal experts, regulators, and industry leaders from across the investment adviser community to discuss the evolving regulatory landscape and share practical strategies for maintaining effective compliance programs. The event features sessions led by SEC officials, industry professionals, and legal experts, offering attendees the latest insights on regulatory developments and compliance best practices. At the conference, RegEd will exhibit at booth #2 and showcase its […]

Introducing 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 […]

SEC Approves FINRA Rule 3220 Amendments: What Firms Need to Do Now

The U.S. Securities and Exchange Commission (SEC) has officially approved proposed amendments to FINRA Rule 3220 (Influencing or Rewarding Employees of Others), modernizing the long-standing Gifts Rule and introducing greater clarity, flexibility, and consistency across the industry. The amendments increase the annual gift limit, codify long-standing interpretive guidance, and formalize FINRA’s authority to grant exemptive relief. FINRA will announce the effective date in a Regulatory Notice. Why This Matters for Compliance Technology As the annual gift limit increases and supervisory expectations expand, firms will need stronger systems for tracking, aggregating, and documenting gift activity. Manual processes become more prone to risk under the new $300 […]

OBA 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 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 these rules aim to […]

2025 Year-End Review: Adjuster Licensing Updates and What to Expect in 2026

As 2025 draws to a close, I’ve seen firsthand just how much the adjuster licensing landscape has evolved this year. In our recent RegEd webinar, Michael Pouliot, our EVP of Sales, and I walked through the most impactful regulatory changes and discussed what compliance professionals should be preparing for as we head into 2026. From emerging state requirements to new best practices for navigating multi-state adjuster licensing, here’s my perspective on what you need to know. The Growing Complexity of Adjuster Licensing Managing adjuster licensing has never been more challenging. According to RegEd’s recent industry survey, the top pain points for compliance teams include navigating differing state […]

’Tis the Season… for Compliance: How to Stay One Gift Away from a FINRA Rule 3220 Violation

The holidays bring an uptick in generosity – festive gatherings, year-end celebrations, and of course, the tradition of gift giving. But for financial services firms, this season of goodwill can also usher in heightened compliance risk. A single misstep in gifts and gratuities could push firms from “one gift away” to violating FINRA Rule 3220. Fortunately, this risk is entirely preventable. By pairing modern compliance technology with clear policies and strong governance, firms can confidently navigate year-end gifting without fear of financial penalties, sanctions, or damage to client trust. Complying with FINRA Rule 3220 is challenging in the best of times – and even more so during a season marked by increased […]

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 […]

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 […]

RegEd 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 […]

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