Overview

The regulatory landscape is shifting — and the pace isn’t slowing down.

Recorded live at RegEd Engage 2026, the Securities Update Panel highlighted recent and upcoming regulatory events that have the potential to impact the compliance programs of broker-dealers and investment adviser. Join us as we engage with securities regulators on branch definitions, supervision and inspection requirements as well as branch-related enforcement matters.

Presenters


Andrea Seidt
Ohio Securities Commissioner
Ohio Division of Securities​

Presenters


Elizabeth Bowling
Tennessee Assistant Securities Commissioner
Tennessee Division of Securities​

Presenters


Michael O’Donnell
Missouri Securities Commissioner
Missouri Division of Securities​

Presenters


Margie Webber
Director of Regulatory Compliance
RegEd​

About 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.

 

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