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 TagMonth: February 2025
Key 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 […]
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