Happy Renewal Season!!! As year-end 2024 approaches, it’s a great time to review the Investment Adviser Representative Continuing Education (IAR CE) status for your associates required to satisfy this annual requirement. IARs who fail to satisfy their IAR CE requirement for two consecutive years risk being administratively terminated in jurisdictions that have implemented an IAR CE requirement unless they satisfy ‘at a minimum’ the full 2023 requirement before year-end 2024. Although not rocket science, there are some complexities around the unique nature of the IAR CE program that still creates some confusion for the industry. For example, it’s important to […]
Continue readingMore TagRegEd to Showcase AI-Powered Advertising Review Solution at 2024 FINRA Advertising Regulation Conference
Attendees will have the opportunity to learn about the industry’s leading enterprise advertising compliance review solution, powered by advanced capabilities that integrate AI technology to drive speed to market and reduce risk. RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is pleased to announce its participation at the FINRA Advertising Regulation Conference in Washington, DC, Sept. 26-27, 2022. FINRA’s Advertising Regulation Conference presents an extensive agenda tailored for both newcomers and seasoned professionals in communications compliance and marketing. Attendees will benefit from interactive sessions led by industry and regulatory experts, focusing […]
Continue readingMore TagRegEd to Participate in 2024 AICP Annual Conference
RegEd, the leading provider of compliance technology solutions to insurance companies, broker-dealers and other financial services firms, is a proud Sponsor and participant in the 2024 Association of Insurance Compliance Professionals’ (AICP) Annual Conference in Indianapolis, IN, on Sept.15-18, 2024. This year’s AICP conference, themed “Shift into Overdrive: Join the Race for Regulatory Excellence,” will serve as a platform for industry professionals to explore and address the pressing challenges faced by compliance teams in Property and Casualty as well as Life and Health sectors. Attendees can look forward to engaging discussions with senior insurance compliance professionals, regulators, and thought leaders […]
Continue readingMore TagComplying with Pay-to-Play Rules in an Election Year
Complying with Pay-to-Play Rules in an Election Year This year’s government elections pose a compliance challenge for registered investment advisory (RIA) firms. When it comes to politics, investment advisers and their covered associates can be as passionate as any voters. But “pay-to-play” rules prohibit advisers from making some political donations that many other voters could. SEC Rule 206(4)-5 considers it to be unlawful for investment advisers to provide investment advisory services for compensation to a government entity within two years after a contribution to an ‘official’ of the government entity is made by the investment adviser or any of its covered […]
Continue readingMore TagIs your regulatory branch inspection program prepared to support the new FINRA Remote Inspections Pilot Program and Requirements for Residential Supervisory Locations?
In January of this year, FINRA published Regulatory Notice 24-02 announcing the effective dates for the Remote Inspection Pilot Program (Pilot) and the Residential Supervisory Locations (RSLs). Those dates are now rapidly approaching and firms must make decisions on whether to participate in the Pilot Program this year and how to apply the RSL rule. A primary driver in the Pilot decision is whether the technology the firm uses will allow the firm to meet the tracking, findings, and reporting intricacies under the Rules. RegEd’s Branch Audit Management solution enables Pilot-participating firms to meet the new requirements. It also allows […]
Continue readingMore TagRegEd’s AI-Powered Advertising Review Solution Surpasses 350,000 Users, Solidifying its Position as the Most Widely Adopted Solution Among Industry Leading Firms
Unprecedented user growth has been driven by continuous product innovation, including the integration of artificial intelligence, and widespread adoption among the largest financial institutions. RegEd, the leading provider of compliance solutions for financial services firms, has announced a significant milestone as its Advertising Review Solution reaches 350,000 users across more than 100 successful implementations. This achievement highlights RegEd’s unique ability to support the advertising compliance needs of the financial services industry at enterprise scale, with four of the five largest financial institutions in the US among its client firms. RegEd’s Advertising Review Solution is the industry’s preferred solution because of […]
Continue readingMore TagRegEd to Showcase Enterprise Compliance Solutions at 2024 FINRA Annual Conference
Attendees will have the Opportunity to Learn How to Navigate Today’s Evolving Regulatory Landscape with RegEd’s Innovative Solutions at the can’t miss industry event. RegEd, the leading provider of compliance technology solutions for broker-dealers and financial services firms, is pleased to announce its participation in the 2024 FINRA Annual Conference in Washington, DC, from May 14-16, 2024. As a proud sponsor, RegEd will host a double kiosk, located at booth #36 in the M4 level exhibit hall, and a client welcome reception on Monday, May 13. The FINRA Annual Conference is an essential event for securities industry professionals, offering insights […]
Continue readingMore TagRegEd’s Xchange Alerts Solution Reaches 250 Million Data Updates, Setting New Milestone for Automated Producer Data Reconciliation
The industry’s most trusted solution for rules-based producer data reconciliation to reduce NIGOs and ensure accurate, up-to-date producer data achieves new breakthrough in scale, fueled by nearly 10 years of product innovation and continuous adoption by leading insurance companies and distributors. RegEd, the leading provider of producer management solutions for the financial services industry, today announced a significant milestone for the company’s pioneering Xchange Alerts solution, which has processed more than 250 million data updates over nearly a decade of industry leadership and innovation. The achievement underscores the effectiveness at scale of the solution’s rules-based data reconciliation engine, which, through […]
Continue readingMore TagRegEd Announces Significant Enhancements to its Market-Leading Xchange Producer Management Solution and Strategic Rebranding to Xchange iX
Continuous Innovation and New Advancements Pioneer an Era of Autonomous Licensing in Financial Services RegEd, a leader in producer management and licensing automation, today proudly unveiled its strategic rebranding of its flagship Xchange solution to Xchange iX, ushering in a transformative era for intelligent and autonomous producer management solutions which span onboarding, licensing and appointment, and credentialing within the financial services sector. This rebranding is a testament to more than two decades of relentless innovation and sustained excellence with its flagship Xchange platform, through which RegEd continues to raise the bar for a “best-in-class” standard. The rebranding to Xchange iX—where […]
Continue readingMore TagRegEd’s Advertising Compliance Solution Surpasses 6 Million Submissions, Setting New Industry Milestone
RegEd’s Enterprise Advertising Review achieves new breakthrough in scale, fueled by continued adoption by the industry’s leading firms and groundbreaking product innovation. RegEd, the leading provider of compliance solutions for financial services firms, has announced a significant new milestone as its Enterprise Advertising Review Solution surpasses 6 million review submissions supporting more than 200 million review decisions. This new mark underscores RegEd’s unique ability to enable marketing and advertising compliance review processes at enterprise scale, with advanced capabilities including the integration of artificial intelligence (AI). RegEd’s innovation and continuous investment in Advertising Review has made it the choice for the […]
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