RegEd’s Advertising Compliance Solution Surpasses 6 Million Submissions, Setting New Industry Milestone

RegEd’s Enterprise Advertising Review achieves new breakthrough in scale, fueled by continued adoption by the industry’s leading firms and groundbreaking product innovation. RegEd, the leading provider of compliance solutions for financial services firms, has announced a significant new milestone as its Enterprise Advertising Review Solution surpasses 6 million review submissions supporting more than 200 million review decisions. This new mark underscores RegEd’s unique ability to enable marketing and advertising compliance review processes at enterprise scale, with advanced capabilities including the integration of artificial intelligence (AI). RegEd’s innovation and continuous investment in Advertising Review has made it the choice for the […]

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Kaitlyn Small Appointed as Chair of SALS Steering Committee with SILA

RegEd, a leading provider of compliance and regulatory solutions for the financial services industry, is pleased to announce that Kaitlyn Small, Manager of Regulatory Compliance at RegEd, has been appointed as the new Chair of the SILA Adjuster Licensing Subgroup (SALS) steering committee. The SILA Adjuster Licensing Subgroup (SALS) serves as the premier platform for adjuster licensing education and awareness. With a steadfast commitment to offering comprehensive and accurate information, SALS caters to both Company and Independent adjusters, covering all facets of the Adjuster Licensing domain. Kaitlyn Small has been a member of the SALS steering committee since 2019, demonstrating […]

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RegEd Launches Producer Management and Licensing Automation Technology Bundle for Midsized Insurers and Distributors

Tailored Offering From the Industry Leader Enables High Efficiency for Licensing Teams and a Frictionless User Experience for Producers and Admins, Enabling Scale for Growth. RegEd, the leading provider of producer management solutions for the insurance and financial services industry, has announced the launch of a technology bundle specifically calibrated for small and midsized insurers and distributors seeking to scale their producer support function along with a growing business. This comprehensive solution, powered by the industry-leading Enterprise Xchange, will meet the unique needs of growing firms, who benefit from an all-in-one approach to producer management technology delivered by a single […]

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FINRA’s Targeted Exam Reveals Violations in Crypto Communications: What You Need to Know

FINRA recently released the results of its November 2022 targeted exam to review the practices of its member firms that actively communicate with retail customers concerning crypto assets and crypto asset-related services.  As part of this targeted exam, FINRA reviewed over 500 such communications and identified potential substantive violations of FINRA Rule 2210 in approximately 70 percent of the communications.  FINRA Rule 2210 requires that communications be fair and balanced and provide a sound basis for evaluating the facts regarding any product or service discussed.  The Rule also prohibits claims that are false, exaggerated, promissory, unwarranted, or misleading, and prohibits […]

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RegEd Launches ‘Compliance Control Center’ Technology Bundle to Deliver Best-In-Class Oversight for Midsized Broker-Dealers

New Offering From the Industry Leader Brings Together Compliance Management Capabilities Trusted by the Industry’s Largest Broker-Dealers and Delivers Them to SMBs and Growing Firms RegEd, a leading provider of compliance solutions for the financial services industry, has announced the launch of its Compliance Control CenterSM technology bundle. This comprehensive solution will meet the unique needs of SMBs and growing firms, who benefit from an all-in-one approach to compliance technology delivered by a single trusted partner. RegEd draws on its extensive experience serving the leading firms in the industry to bring together advanced compliance tools previously available only to the […]

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FINRA Announces Effective Dates for Remote Inspections Pilot, Residential Supervisory Locations and the End to Pandemic-Related Relief

FINRA has published Regulatory Notice 24-02 announcing the effective dates for the Remote Inspection Pilot Program (Pilot) and the Residential Supervisory Locations (RSLs).  In addition, they announced the end to pandemic-related regulatory relief that temporarily suspended the requirement to maintain updated Form U4 and Form BR information regarding the office of employment address for registered persons who temporarily relocated and newly opened temporary office locations or space-sharing arrangements. Remote Inspection Pilot (Pilot) ~ FINRA Rule 3110.18 The Pilot is expected to kickoff July 1, 2024 and will run through June 30, 2027.  Following are the timeframes for each Pilot Year. […]

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Year-End Considerations for Investment Adviser Representatives: Navigating Complex CE Requirements and Potential Non-Compliance Risks

As the year draws to a close, it’s crucial for Investment Adviser Representatives (IARs) and Investment Advisers (IAs) to be acutely aware of the Investment Adviser Representative Continuing Education (IAR CE) requirements and the consequences of non-compliance. This blog post aims to highlight key points on what needs to be considered as we approach year-end, focusing on CE compliance, potential administrative terminations, and strategies for addressing these challenges. Understanding the Risks of Non-Compliance with IAR CE Requirements Potential Administrative Termination for IARs Two-Year Backlog Risk: IARs who are behind on their IAR CE for two years face the risk of […]

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RegEd to Showcase Next-Generation Producer Management Solution at 2023 InsureTech Connect Conference

Xchange Producer Management delivers a single solution for all distribution channels, enabling rapid onboarding of agencies and agents to speed time to market. RegEd, the leading provider of compliance technology solutions to the financial services industry, including Xchange, the market-leading Enterprise Licensing and Registration solution, is proud to be a Silver Sponsor of the 2023 InsureTech Connect (ITC) Conference, held from Oct. 31-Nov. 2, in Las Vegas, NV. During the conference, RegEd will present its next-generation Xchange Producer Management solution, which was developed with input from some of the nation’s largest insurance companies. Jacob Spitzley, RegEd Director of Product Management, […]

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RegEd to Participate in 2023 AICP Annual Conference

RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is a proud Silver Level Sponsor and participant in the 2023 Association of Insurance Compliance Professionals’ (AICP) Annual Conference in Austin, TX, on Oct. 29 – Nov. 1, 2023. Conference attendees will learn about and discuss key issues facing compliance professionals at Property and Casualty and Life and Health companies. The event will bring together hundreds of senior insurance compliance professionals, regulators and industry thought leaders. “Breaking the Spell on Compliance and Discovering Your Magic” is the theme of this year’s AICP conference. […]

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RegEd’s Brandi Brown Appointed as Education Chair on SILA Board of Directors

RegEd, a leading provider of compliance and regulatory solutions for the financial services industry, is pleased to announce that Brandi Brown, Senior Vice President of Regulatory Affairs at RegEd, has been voted onto the Securities & Insurance Licensing Association (SILA) Board of Directors. Brown will serve as the Education Chair for a two-year term, commencing in January 2024. SILA is a highly respected industry organization dedicated to the promotion and enhancement of the professional growth of individuals and companies in the insurance and securities licensing industry. The Education Chair is a crucial position that plays an instrumental role in shaping […]

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