RegEd Thought Leaders to Present at the 2022 IRI Annual Conference

Attendees will learn how RegEd enables leading insurers to streamline the producer experience and gain competitive advantage RegEd, the leading provider of compliance and credentialing solutions to the financial services industry, will be a sponsor at the 2022 IRI Annual Conference, held from May 18–20 in Washington, D.C. The IRI Annual Conference convenes representatives from the entire supply chain of the insured retirement industry. Attendees can expect to hear from inspiring and innovative keynote speakers […]

Read MoreMore Tag

Complying with Pay-to-Play Rules in an Election Year

This year’s mid-term elections pose a compliance challenge for registered investment advisory (RIA) firms. When it comes to politics, investment advisers and their covered associates can be as passionate as any voters. But “pay-to-play” rules prohibit advisers from making political donations that many other voters could. SEC Rule 206(4)-5 considers it to be unlawful for investment advisers to provide investment advisory services for compensation to a government entity within two years after a contribution to […]

Read MoreMore Tag

RegEd to Exhibit Industry-Leading Advertising Compliance Solution at 2022 IAdCA Annual Conference

RegEd will present its Enterprise Advertising Review solution at the Insurance Advertising Compliance Association’s 2022 Annual Conference. The IAdCA conference offers insurance industry professionals an opportunity to network and gain insight and understanding of insurance advertising compliance issues and trends. Conference attendees will hear from subject matter experts and state departments of insurance on advertising filing procedures, potential advertising violations, state advertising regulations, and what is expected of companies doing business in those states. Attendees […]

Read MoreMore Tag

Top 5 Features from RegEd’s Enterprise Compliance Spring Release

RegEd recently rolled out dozens of exciting new features with our spring Enterprise Compliance platform release designed for financial services firms. Learn more about the top 5 features below!  Industry’s Largest IAR CE Offering  SCORM Compliant Courses  GGC’s Contact Directory Enhancements  Multiple Auditor Support  Compliance Questionnaire & Advertising Review Self-Service Tools  Industry’s Largest IAR CE Offering  In January, RegEd launched our Investment Adviser Representative CE solution to meet the North American Securities Administrators Association (NASAA)’s […]

Read MoreMore Tag

5 SEC Examination Priorities for 2022

The SEC’s Division of Examinations’ exam priorities for fiscal year 2022 include standards of conduct as well as issues related to technology and investment products. “The Division will prioritize examinations of several significant focus areas that pose unique or emerging risks to investors or the markets, as well as examinations of core and perennial risk areas. Their importance to investors and the markets, coupled with the seriousness and frequency of observations in prior years’ examinations, […]

Read MoreMore Tag

Preparing your 2022 Firm Element Training Program – Step Two: the Written Training Plan

Adam Schaub Vice President, Platform Product Management RegEd, Inc. FINRA Rule 1240 requires each of its member firms to conduct an annual evaluation and prioritization of its registered persons’ training needs, develop a written training plan, and implement and track completion of that plan.  Our first article covered the Needs Analysis, and this article covers the second step, which is to develop your firm’s written training plan.  Similar to our guidance on the Needs Analysis, if […]

Read MoreMore Tag

Preparing your 2022 Firm Element Training Program – Step One: the Needs Analysis

Adam Schaub Vice President, Platform Product Management RegEd, Inc. It is that time of year again when firms have wrapped up their 2021 CE programs and are ready to reflect and plan their 2022 programs.  For many firms, this entails dusting off the 2021 Needs Analysis and Written Training Plan, and adjusting for the current year.  If planning Firm Element is a new task for you, it is recommended that you create a framework that […]

Read MoreMore Tag

RegEd to Exhibit Industry-Leading Adjuster Licensing Solution at Self-Insurance Institute of America Spring Forum

RegEd will exhibit its Xchange for Adjuster Licensing and Enterprise Xchange Contracting, Licensing, and Registration solutions at the Self-Insurance Institute of America (SIIA) Spring Forum in Orlando, Fla., on March 30-April 1. The SIIA Spring Forum is billed as the largest event for senior-level self-insurance industry professionals in the first half of 2022. It will include educational sessions, group discussions, association task force reports, and a “focus group” participation opportunity. RegEd helps self-insurance companies and […]

Read MoreMore Tag

RegEd’s Advertising Compliance Solution Tops 4 Million Submissions

Adoption by seven of the top 10 broker-dealers and dozens of other financial services firms drives RegEd’s Enterprise Advertising Review past new milestone Significant investment in R&D and product innovation for RegEd’s market-leading Enterprise Advertising Review has resulted in the most rapid adoption by leading financial services firms in the solution’s history. Total submissions increased by more than 35% in 2021, enabling the ad compliance solution to recently surpass 4 million submissions since its inception […]

Read MoreMore Tag

RegEd to Exhibit Next-Generation Agency Contracting Solution at 2022 LIMRA Distribution Conference

Xchange Agency Contracting delivers a single solution for all distribution channels, enabling rapid onboarding of agencies and agents to speed time to market RegEd will present its next-generation Xchange Agency Contracting solution at the 2022 LIMRA Distribution Conference for Financial Services. Developed with input from some of the nation’s largest insurance companies, Xchange Agency Contracting significantly reduces the time to contract and appoint producers while providing a streamlined user experience. “To gain competitive advantage in […]

Read MoreMore Tag

Posts navigation

1 2 3 4 13 14 15
Scroll to top