Licensing and Registration Archives

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 […]

RegEd Webinar with Datos Insights to Spotlight Distribution & Compensation Management Trends in the Insurance Industry

Panelists will address modernization strategies and technology investments shaping the future of producer management RegEd, the leader in enterprise compliance and regulatory technology solutions, is partnering with Datos Insights to present a timely and insightful webinar, “The Future of Distribution & Compensation Management – Key Trends and Strategies.” The event will explore the rapidly evolving landscape of producer management, the increasing need for modernization, and how carriers can stay ahead by leveraging the latest technology solutions. As insurers navigate a shifting workforce demographic, the demand for streamlined onboarding, licensing, and compensation systems has never been greater. With 64% of carriers […]

RegEd to Showcase Xchange Producer Management and Real-time Clear-to-Sell Solution at 2025 LIMRA Distribution Conference

RegEd, the leading provider of producer management technology for the insurance and financial services, will showcase its next-generation Xchange Producer Management solution, featuring its industry-first CLEARXchangeSM real-time “clear to sell” capability, at the 2025 LIMRA Distribution Conference. As firms continue to navigate an evolving regulatory landscape, RegEd’s advanced technology enables them to streamline producer onboarding, ensure compliance, and accelerate time to market. RegEd’s Xchange Producer Management automates critical producer lifecycle processes, integrating onboarding, licensing, appointments, and registration into a seamless workflow. The solution’s CLEARXchange module provides real-time validation of producer credentials, ensuring that agents and advisors can place business immediately […]

Key Takeaways from FINRA’s 2025 Annual Regulatory Oversight Report: What Compliance Professionals Need to Know

Each year, FINRA’s Annual Regulatory Oversight Report serves as a critical resource for compliance professionals, outlining evolving risks, regulatory expectations, and areas where firms continue to face challenges. The 2025 report reflects key developments across multiple risk areas, emphasizing third-party risk management, artificial intelligence (AI), the remote inspections pilot, outside business activities (OBA), private securities transactions (PST), and communications with the public among others. For firms, these insights are not just a review of recent findings — they offer a roadmap for where FINRA’s examiners will be focusing their attention in 2025. Below, we break down some key takeaways from […]

RegEd Expands its Xchange Solution to Support Canadian Insurance Licensing and Securities Registration Requirements

Partnership with a Fortune 500 Wealth Management Firm Drives the Advancement of the Industry-Leading Licensing & Registration Solution to Support Firms Operating in Both the US and Canada RegEd, the leading provider of regulatory compliance and credentialing solutions for the financial services industry, today announced the expansion of its Xchange Producer Management platform to support insurance licensing and securities registration in Canada. This expansion enables financial services firms to harmonize their US and Canadian licensing and registration processes, leveraging Xchange’s advanced automation to improve efficiency, enhance compliance, and accelerate time-to-market for financial professionals operating across both regions. The move comes […]

Celent Names RegEd a ‘Functional Standout’ in Report on Distribution and Compensation Management Systems in Insurance

The leading advisory firm cites breadth of functionality, robust feature set and large client base as criteria for the designation Celent has named RegEd, and its Enterprise Xchange Producer Management solution, as a “Functional Standout” in the research and advisory firm’s report, Insurance Distribution Management Systems: North American Edition. Functional Standouts “excel in functionality and are likely to have a large installed base. Often more established, these solutions have built out a robust set of features over many years,” the report states. The report highlights a growing trend in the adoption of distribution management systems in response to various market […]

RegEd Advances its Market-Leading Compliance and Registration Management Solutions to Ensure the Industry’s Seamless Transition to FINRA’s New API Platform

The enhancements come as the result of more than a year of direct collaboration with FINRA to secure readiness for the change while delivering additional efficiencies across the rep compliance lifecycleRegEd, the leading provider of compliance and RegTech solutions for the financial services industry, today announced significant enhancements to its industry-leading suite of compliance and registration management solutions. These advancements will enable firms to transition without disruption to FINRA’s new API platform ahead of the sunset of its Web EFT application on April 30, 2025, while realizing additional efficiency and effectiveness across a range of critical rep compliance processes. As […]

RegEd Thought Leaders Recognized by SILA for Industry Leadership and Excellence

Two RegEd representatives have received nominations for the prestigious SILA President’s Award, while RegEd has been nominated for the SILA Organization of the Year Award RegEd, the leading provider of compliance technology solutions for the insurance and securities industries, today announced nominations for two accolades from the Securities & Insurance Licensing Association (SILA): the President’s Award and Organization of the Year Award. These nominations reflect RegEd’s unwavering dedication to the SILA cause and to advancing the role of licensing and registration in the financial services industry. The SILA Awards program celebrates exceptional contributions by individuals and organizations, based on nominations […]

1 2 3 4 5 6

Posts navigation