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 – only a year after it exceeded 3 million submissions. The rapidity with which Enterprise Advertising Review achieved its latest milestone affirms RegEd’s unique capacity […]

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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 today’s marketplace, insurance companies must foster strong relationships with their distribution partners,” said Debra Freitag, Chief Strategy Officer at RegEd. “Xchange Agency Contracting improves producer […]

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SEC: Investment Advisers Can ‘Tailor’ Cybersecurity Policies and Procedures to Fit Their Business

Though the SEC has proposed requiring cybersecurity policies and procedures for investment advisers for the first time, it has also provided firms flexibility in addressing the general elements to be covered. “We recognize that there is not a one-size-fits-all approach to addressing cybersecurity risks. As a result, the proposed cybersecurity risk management rules would allow firms to tailor their cybersecurity policies and procedures to fit the nature and scope of their business and address their individual cybersecurity risks,” the SEC wrote in recently proposed cybersecurity risk management rules. Advisers and funds would also have to report any significant cybersecurity incidents […]

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RegEd Experts to Bring Licensing Insights and Regulatory Updates to SILA Heartland Chapter Meeting

RegEd will share best practices in licensing and registration and relevant regulatory updates with Securities & Insurance Licensing Association members. At Wednesday’s SILA Heartland Chapter meeting, Michael Pouliot, head of sales for RegEd’s Enterprise Xchange Contracting, Licensing, and Registration solution, will offer SILA members ways to drive licensing and registration efficiencies that create a competitive advantage. Also, Brandi Brown, senior vice president of regulatory affairs for RegEd, will give a regulatory overview to attendees. SILA’s members include licensing experts whose occupations encompass all aspects of insurance licensing and securities registration. “Licensing and registration regulations can be complex and are increasingly dynamic,” Brown said. […]

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FINRA Publishes 2022 Report on Exam and Risk Monitoring Program

The newly released 2022 Report on FINRA’s Examination and Risk Monitoring Program reflects an evolving securities industry. “Today’s securities industry landscape is highly dynamic in terms of business models, technologies, products, and compliance practices. This report looks at these significant changes through the lens of FINRA’s commitment to investor protection and market integrity so that firms’ compliance programs can benefit from our findings about emerging and ongoing issues,” stated Greg Ruppert, executive vice president, member supervision, in a press release announcing the release of FINRA’s 2022 exam report. Exam findings in key areas Focus areas highlighted in the report include: FINRA’s initial findings from its […]

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Leading Advisory Firm Names RegEd a ‘Dominant Provider’ in Report on Distribution/Compensation Management Systems

Aite-Novarica Group Cites ‘Strong Market Position and Momentum’ in Listing Leading Providers of DCM Solutions Aite-Novarica Group has listed RegEd as a dominant solution provider in the advisory firm’s most recent report on distribution/compensation management systems. Dominant providers “have strong market position and momentum” and “their solutions within the segment are well-known,” Aite-Novarica Group states in its report. RegEd’s Enterprise Xchange Contracting, Licensing and Registration solution is one of 12 DCM provider systems (encompassing onboarding, licensing and compensation systems) included in the Novarica Market Navigator™ report. “Decoupling DCM capabilities from core policy administration systems can be a strategic approach to […]

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SEC Cybersecurity Policy: New Rules for Investment Advisers Possible

The next evolution in SEC cybersecurity policy could come Wednesday when commissioners consider whether to propose new rules for registered investment advisers and investment companies. Commissioners will consider staff recommendations for addressing cybersecurity risk management for investment advisers and investment companies as one of the agenda items for their Feb. 9 meeting. The commission will also consider related amendments to certain rules regarding adviser and fund disclosures under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 under the same agenda item, according to the SEC’s meeting agenda. SEC Chair Gary Gensler has asked staff to […]

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RegEd Achieves Record Growth in 2021 Fueled by Product Innovation and New Enterprise Customer Acquisition

Industry’s leading provider of compliance, licensing, and credentialing automation, delivers record bookings and double-digit increase in revenue; Gears up for the future with further investment in advanced technologies. RegEd, the leading provider of RegTech solutions to broker-dealers, insurance companies, insurance brokers, and banks, today announced results from the most successful year in the company’s history. RegEd achieved record growth in 2021, highlighted by a 42% year-over-year increase in organic new annual recurring revenue (ARR) bookings and 34% organic growth over the prior year in annual recurring revenue.   While RegEd’s growth continues to be fueled by constants such as heightened […]

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RegEd Subject-Matter Experts to Share Regulatory Updates and Industry Insights at SILA Chapter Event

RegEd Representatives will Present at a Meeting of the Buckeye Chapter of the Securities & Insurance Licensing Association Raleigh, N.C., Jan. 25, 2022 —  RegEd will provide Securities & Insurance Licensing Association members with insights into the latest regulatory changes and trends, as well as opportunities, challenges and best practices impacting licensing and registration professionals in the financial services industry. At Wednesday’s SILA Buckeye Chapter meeting, Brandi Brown, senior vice president of regulatory affairs for RegEd, will give a regulatory overview to attendees. Also, Michael Pouliot, head of sales for RegEd’s Enterprise Xchange Contracting, Licensing, and Registration solution, will offer SILA […]

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FINRA CEO to SIFMA Audience: Protecting Investors and Addressing Workplace Evolution are Priorities for 2022

Investor protection remains atop FINRA’s priorities for 2022. “There will be a theme around retail-investor protection,” CEO Robert Cook said, during a recent webinar hosted by SIFMA. And FINRA will proceed with some existing initiatives as well as launch new efforts in 2022, he told SIFMA President & CEO Kenneth Bentsen, Jr., in a virtual Q&A session. FINRA will also revisit rules and regulations in light of changes brought about by the COVID-19 pandemic and the industry’s shift to remote work, Cook noted. In doing so, the regulator could modify or extend some short-term responses to make them long-term changes. […]

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