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Identify Risk Before It Happens with SCORE Risk Control Center.

Drive new levels of efficiency and increase compliance effectiveness while demonstrating a “culture of compliance” to regulatory examiners. Learn More.


Strengthen Organizational Alignment and Governance.

CODE powers comprehensive, end-to-end administration and oversight of all elements of the firm’s compliance program. Learn More.


Squeeze Out Inefficiency, Bake in Compliance.

Xchange transforms Licensing & Registration operations to support core business objectives: lowered costs, reduced risk and increased producer satisfaction. Learn More.

Case Studies
RegEd Advertising Review Solution Case Study – CUNA Mutual Group
CUNA Mutual Group’s requirements focused on eliminating manual processes, streamlining the communication between submitters
and reviewers, installing strong version control, and enabling all stakeholders to effectively track the status of submissions throughout the cycle… Read More.

News

Events

RegEd Named SILA 2017 Organization of the Year

RegEd has been named the SILA Organization of the Year. The award was announced at the 2017 SILA National Education Conference in Orlando, FL on September 26, 2017…. Read more.

RegEd Hosts Seventh Annual Client Conference in Fort Lauderdale, FL

RegEd hosted the annual RegEd Compliance Alliance (RCA) client conference in Fort Lauderdale, FL, April 16-18, 2018….Read more.

NSCP National Conference
October 29-31, 2018

The most comprehensive educational offering within the securities compliance industry, and the only conference that is “For Compliance, By Compliance.” The workshops, labs and roundtable discussions are all led by experienced industry veterans who focus on the practical implementation of compliance policies and procedures. Learn more.

FSI OneVoice January 28-30, 2019

FSI’s OneVoice conference is the annual in-person gathering for broker-dealer home office executives. Education and networking sessions are specifically designed for CEOs, senior executives, managers and employees of member and prospective member firms. Learn more.