RegEd, the market-leading provider of enterprise compliance solutions for insurance companies and financial services firms, is thrilled to announce the appointment of Evan Cox as Chief Technology Officer (CTO). With more than two decades of experience in technology leadership, Cox will spearhead RegEd’s technology strategy—advancing security, reliability, and platform modernization to ensure continued innovation and superior client outcomes. As CTO, Cox will focus on enhancing RegEd’s cloud-based SaaS architecture, modernizing APIs and software development processes, expanding deployment options, and fortifying cybersecurity and compliance measures. His leadership will be instrumental in strengthening RegEd’s cutting-edge compliance and credentialing technology, ensuring clients receive […]
Continue readingMore TagRegEd 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 […]
Continue readingMore TagKey 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 […]
Continue readingMore TagRegEd 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 […]
Continue readingMore TagOBA and PST Rules Could Be Consolidated: What Does It Mean for the Industry?
The Financial Industry Regulatory Authority (FINRA) is considering a significant potential change in how it governs certain areas of conflicts of interest by consolidating its rules on Outside Business Activities (OBA) and Private Securities Transactions (PST). This proposal could bring much-needed clarity and efficiency to compliance processes for member firms. Current Landscape: OBA and PST Rules At present, OBAs and PSTs are governed separately under FINRA Rules 3270 and 3280. These rules outline how registered representatives must disclose and seek approval for activities and private securities transactions outside their primary roles with their member firms. While these rules aim to […]
Continue readingMore TagRegEd Continues Expansion of Audit Management Capabilities in Support of FINRA’s Remote Inspections Pilot Program
New enhancements empower firms to streamline branch inspections, improve oversight, and ensure compliance—whether they participate in the pilot program or not. RegEd, the leading provider of RegTech enterprise solutions, has announced significant enhancements to its Audit Management solution to support the requirements of FINRA’s Remote Inspections Pilot Program, which began July 1, 2024. These enhancements enable firms to efficiently plan, track, and manage inspections—whether they opt into the pilot program or continue with traditional onsite inspections—while ensuring compliance with FINRA Rule 3110.18. FINRA’s three-year Remote Inspections Pilot Program allows eligible firms to conduct branch office inspections remotely instead of through […]
Continue readingMore TagRegEd’s Advertising Compliance Solution Surpasses 7 Million Submissions, Marking Another Industry Milestone
RegEd’s AI-Powered Enterprise Advertising Review continues to set the standard for marketing and advertising compliance in financial services through market-leading innovation and widespread industry adoption. RegEd, the leading provider of compliance solutions for financial services firms, has reached a new milestone as its Enterprise Advertising Review Solution surpasses 7 million submissions, representing more than 13.1 million review decisions and more than 16 million submitted review items. This achievement reinforces RegEd’s unmatched capability to streamline advertising compliance processes at scale, driven by advanced technology including artificial intelligence (AI). RegEd’s innovation and continuous investment in Advertising Review, including the successful launch of […]
Continue readingMore TagAddress the Branch Audit Scheduling Challenge Head-On with RegEd’s Branch Audit Cycle Management
The scheduling of OSJ, branch, and non-branch audits has become more complex over the past year. With the introduction of FINRA’s Remote Inspection Pilot Program and Residential Supervisory Locations, along with state-specific branch and non-branch registration and audit requirements, the complexity in tracking firms’ audit cycles is at an all-time high. For example, OSJ’s must be audited annually (along with branches that supervise non-branch locations), and other branches must be audited every three years. Supervisory offices from a person’s private residence are considered non-branch locations and can be subject to a different cycle, but certain states’ rules override these rules […]
Continue readingMore TagFINRA Modifies Form U4 Adding New Residential Supervisory Location (RSL) Question and Eliminates Quarterly RSL List Reporting Requirement
FINRA recently released a modified version of Form U4, which now includes a method for broker-dealers (BDs) to indicate if their associates’ Offices of Employment that are located in private residences are designated as Residential Supervisory Locations (RSL). (Please note that the Revision Date of Form U4 still reflects May 2009.) RSLs are private residences from which an associated person engages in supervisory activities. FINRA considers RSLs non-branch locations. As such, they do not need to be inspected annually. Instead, they must be inspected on a regular periodic schedule presumed to be at least every three (3) years. In […]
Continue readingMore TagKey Takeaways from the NSCP National Conference: Cybersecurity and AI at the Forefront
RegEd recently attended the NSCP National Conference, where industry leaders gathered to discuss pressing issues and trends impacting the financial services landscape. The NSCP National Conference once again highlighted the pressing topics of cybersecurity and artificial intelligence in the financial services industry. As organizations navigate the complexities of these evolving technologies, key insights emerged from the sessions that warrant attention. Dominance of Cybersecurity and AI Cybersecurity and AI dominated discussions throughout the conference, highlighting their growing importance in today’s financial services landscape. Many firms are in various stages of adopting AI technology, but panelists noted that concrete examples of efficiencies […]
Continue readingMore Tag