SEC Cybersecurity Policy: New Rules for Investment Advisers Possible

The next evolution in SEC cybersecurity policy could come Wednesday when commissioners consider whether to propose new rules for registered investment advisers and investment companies. Commissioners will consider staff recommendations for addressing cybersecurity risk management for investment advisers and investment companies as one of the agenda items for their Feb. 9 meeting. The commission will also consider related amendments to certain rules regarding adviser and fund disclosures under the Investment Advisers Act of 1940 and […]

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

Three states have implemented investment adviser representative continuing education (IAR CE) requirements with a compliance date of Jan. 1, 2022. Investment adviser representatives now have until Dec. 31 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 […]

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RegEd Approved as Investment Adviser Representative Continuing Education (IAR CE) Provider

Compliance education leader will offer courses for North American Securities Administrators Association’s Investment Adviser Representative Continuing Education Model Rule RegEd has been approved to offer Investment Adviser Representative Continuing Education (IAR CE) courses for registered IARs subject to the North American Securities Administrators Association’s Investment Adviser Representative Continuing Education Model Rule. Content management vendor Prometric has approved RegEd as an IAR CE provider on behalf of NASAA. Designed to close a gap in CE needed […]

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RegEd to Exhibit at 2021 InsureTech Connect Conference

As the leading provider of regulatory technology solutions to the financial services industry, RegEd will exhibit its market-leading enterprise compliance platform at the 2021 InsureTech Connect Conference in Las Vegas. ITC Vegas is among the world’s largest InsureTech events – offering access to a comprehensive and global gathering of tech entrepreneurs, investors, and insurance industry incumbents. From Oct. 4-6, the industry will convene to showcase new innovations, to learn how to increase productivity and reduce […]

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Documentation and Compliance Key in FINRA Sweep Exams of Options Accounts

Broker-dealers need to document their firm’s processes for supervising options trading and demonstrate compliance with them in new FINRA sweep exam on option accounts. The industry self-regulator is conducting targeted examinations of broker-dealers’ supervision of options trading as part of its ongoing efforts to protect retail investors. FINRA CEO Robert Cook had indicated in July that the sweep would be coming and the regulator followed through shortly thereafter, releasing its Targeted Examination Letter on Option […]

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The New Best Interest Standard for Annuity Sales: An Overview of Revisions to the NAIC’s Model Regulation #275

Download as PDF In February 2020, the National Association of Insurance Commissioners (NAIC) approved revisions to its Suitability in Annuity Transactions Model Regulation (#275). The revised regulation requires that all annuity recommendations by producers and insurers meet a “best interest” standard. Under the new model regulation, insurance producers and carriers may not place their financial interests ahead of the consumer’s interest when recommending an annuity product. Furthermore, insurers are required to establish and maintain a […]

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CE Council Fall 2019 Firm Element Advisory Topics

Every year, RegEd reviews the latest guidance on CE Council Firm Element topics.  Several times a year, the CE Council, established by FINRA to oversee the continuing education rules, writes the regulatory element exams and issues guidance on what they consider appropriate FE training topics.   Following are some highlights of new or updated topics as they appear in the recent Fall Advisory. Alternative Investments Digital Assets: Updated for Reg. Notice 19-24: Encourages firms to keep […]

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RegEd to Host NAIC Market Regulation Webinar for Compliance, Legal and Risk Management Professionals in the Insurance Industry

Educational Webinar Delivers Insight on Current Market Regulation Initiatives Raleigh, NC, May 23, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of compliance and risk management technology to the insurance and financial services industries will host a webinar “NAIC Update and Important Trends in Insurance Company Market Conduct” on May 30, 2019. The session will be led by Randy A. Helder, Assistant Director of Market Regulation, National Association of Insurance Commissioners (NAIC). Attendees will include […]

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RegEd and IRI Announce Partnership to Deliver Training to Help Industry Professionals Comply With New York Regulation 187

The new course will inform producers of their obligations under the regulation to act in the best interest of clients when recommending annuities or life insurance transactions Raleigh, NC, May 13, 2019 (GLOBE NEWSWIRE) — RegEd, the leading provider of Compliance Education and Product Training solutions for the financial services industry, has announced a partnership with the Insured Retirement Institute (IRI) to deliver a course to help meet New York Regulation 187 requirements. The course, […]

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RegEd Named CE Quality Partner by CFP Board

RegEd has been named a “CFP Board CE Quality Partner” after successfully meeting criteria established by Certified Financial Planner Board of Standards Inc. (CFP Board). As a CE Quality Partner, RegEd has demonstrated a commitment to developing continuing education (“CE”) programs that meet a high set of standards outlined by CFP Board.  To achieve and maintain status as a CE Quality Partner, RegEd agreed to have a random number of self-study and live programs reviewed […]

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