In January of this year, FINRA published Regulatory Notice 24-02 announcing the effective dates for the Remote Inspection Pilot Program (Pilot) and the Residential Supervisory Locations (RSLs). Those dates are now rapidly approaching and firms must make decisions on whether to participate in the Pilot Program this year and how to apply the RSL rule. A primary driver in the Pilot decision is whether the technology the firm uses will allow the firm to meet the tracking, findings, and reporting intricacies under the Rules. RegEd’s Branch Audit Management solution enables Pilot-participating firms to meet the new requirements. It also allows […]
Continue readingMore TagRegEd’s AI-Powered Advertising Review Solution Surpasses 350,000 Users, Solidifying its Position as the Most Widely Adopted Solution Among Industry Leading Firms
Unprecedented user growth has been driven by continuous product innovation, including the integration of artificial intelligence, and widespread adoption among the largest financial institutions. RegEd, the leading provider of compliance solutions for financial services firms, has announced a significant milestone as its Advertising Review Solution reaches 350,000 users across more than 100 successful implementations. This achievement highlights RegEd’s unique ability to support the advertising compliance needs of the financial services industry at enterprise scale, with four of the five largest financial institutions in the US among its client firms. RegEd’s Advertising Review Solution is the industry’s preferred solution because of […]
Continue readingMore TagRegEd to Showcase Enterprise Compliance Solutions at 2024 FINRA Annual Conference
Attendees will have the Opportunity to Learn How to Navigate Today’s Evolving Regulatory Landscape with RegEd’s Innovative Solutions at the can’t miss industry event. RegEd, the leading provider of compliance technology solutions for broker-dealers and financial services firms, is pleased to announce its participation in the 2024 FINRA Annual Conference in Washington, DC, from May 14-16, 2024. As a proud sponsor, RegEd will host a double kiosk, located at booth #36 in the M4 level exhibit hall, and a client welcome reception on Monday, May 13. The FINRA Annual Conference is an essential event for securities industry professionals, offering insights […]
Continue readingMore TagRegEd’s Xchange Alerts Solution Reaches 250 Million Data Updates, Setting New Milestone for Automated Producer Data Reconciliation
The industry’s most trusted solution for rules-based producer data reconciliation to reduce NIGOs and ensure accurate, up-to-date producer data achieves new breakthrough in scale, fueled by nearly 10 years of product innovation and continuous adoption by leading insurance companies and distributors. RegEd, the leading provider of producer management solutions for the financial services industry, today announced a significant milestone for the company’s pioneering Xchange Alerts solution, which has processed more than 250 million data updates over nearly a decade of industry leadership and innovation. The achievement underscores the effectiveness at scale of the solution’s rules-based data reconciliation engine, which, through […]
Continue readingMore TagRegEd Announces Significant Enhancements to its Market-Leading Xchange Producer Management Solution and Strategic Rebranding to Xchange iX
Continuous Innovation and New Advancements Pioneer an Era of Autonomous Licensing in Financial Services RegEd, a leader in producer management and licensing automation, today proudly unveiled its strategic rebranding of its flagship Xchange solution to Xchange iX, ushering in a transformative era for intelligent and autonomous producer management solutions which span onboarding, licensing and appointment, and credentialing within the financial services sector. This rebranding is a testament to more than two decades of relentless innovation and sustained excellence with its flagship Xchange platform, through which RegEd continues to raise the bar for a “best-in-class” standard. The rebranding to Xchange iX—where […]
Continue readingMore TagRegEd’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 […]
Continue readingMore TagKaitlyn 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 […]
Continue readingMore TagRegEd 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 […]
Continue readingMore TagFINRA’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 […]
Continue readingMore TagRegEd 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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