With FINRA’s proposed Rule 3290 under SEC review – set to consolidate Rules 3270 and 3280 and refocus supervision on investment-related activities – firms are re-evaluating how they intake, review, and monitor Outside Business Activities. Recorded live at Engage 2026, join us for a focused spotlight on OBA management in this shifting regulatory landscape.
We’ll dig into how conditional OBAs and attestations are being used to prove ongoing supervision, share practical use cases for the new Search All capability, and offer an early look at how AI will enhance OBA oversight and review consistency.
Anita Adkisson
Vice President | Supervision & Risk Mitigation
Ameriprise
Debra Bougie
Manager, Compliance
Thrivent
Amber Bird
Principal Solution Product Manager
RegEd
Margie Webber
Director of Regulatory Compliance
RegEd
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.
