RegEd

Registration is NOW OPEN for RegEd Engage 2025! Register today to lock in early-bird pricing: https://bit.ly/473GoCg RegEd's annual client conference is a meeting of technology, compliance and operations professionals from the nation’s leading financial services firms - and imparts need-to-know information and best practices to enable attendees to gain the most possible value from their RegEd partnership. We hope to see you there!

Happy Thanksgiving, from our RegEd family to yours!

Financial services firms face the challenge of managing potentially thousands of regulatory changes every year across #FINRA, #SEC, State Insurance Departments, and other agencies. Join us for an upcoming webinar where RegEd’s Regulatory Affairs team will break down the current regulatory landscape, and a RegEd client will share their success story of transforming their regulatory change management process to meet these challenges head-on. Register here: https://bit.ly/3V3Tyun

According to a RegEd survey, 95% of industry respondents expect #AI to increase compliance efficiency in advertising review.   AI's potential is incredibly exciting! But firms should keep in mind that not all AI is the same. As a new technology surrounded by buzzwords, "me too" providers, and high levels of potential risk, it can be hard to know where to start or what to trust.   RegEd's closed-loop, proprietary AI model was developed in partnership with the largest firms in the industry. Encompassing more than 16M submitted review items, our large-scale, diversified data set makes RegEd’s AI capabilities uniquely powerful and secure.   Learn how our AI-Powered Ad Review solutions can help you streamline compliance reviews and speed time to market: https://bit.ly/3LCAZrY    #AdvertisingReview #MarketingCompliance #RegEd

Check out our latest blog post: https://bit.ly/3V0QIGs to learn how branch audit scheduling has become more complex with evolving regulations and programs like FINRA’s Remote Inspection Pilot. Managing OSJ audits, state-specific rules, and non-branch locations is a growing challenge for many firms. RegEd’s Audit Management solution simplifies the process with self-service tools that automate scheduling, ensuring compliance and efficiency. From setting audit frequency rules to advanced reporting, RegEd makes managing audits seamless. #BranchAudit #Compliance #RegEd #FINRA #AuditManagement #RegTech #FinancialServices

FINRA has updated Form U4 to include a question about Residential Supervisory Locations (RSL) for associates working from private residences and has eliminated the quarterly RSL list reporting requirement. To learn more about these changes and their impact on broker-dealers, check out our new blog post: https://bit.ly/4fMBZaB #FINRA #Compliance #FormU4 #BrokerDealers #RemoteWork #RSL

Check out our latest blog post! https://bit.ly/3O3OIsX RegEd had the privilege of attending the National Society of Compliance Professionals (NSCP) National Conference, where industry leaders came together to discuss the latest trends and challenges in the financial services sector. This year’s conference highlighted two key areas transforming the industry: Cybersecurity and Artificial Intelligence. #cybersecurity #ai #compliancemanagement

On this Veterans Day, we honor the courage, strength, and sacrifice of all who have served. Your dedication and invaluable contributions have shaped our nation, and we are deeply grateful for your service! #VeteransDay #HonoringOurHeroes

This fall the SEC approved amendments to FINRA Rule 3240, now titled "Prohibition on Borrowing From or Lending to Customers," strengthening the prohibition against borrowing and lending arrangements between registered persons and their customers. RegEd is here to support firms with these updates through our enhanced Compliance Questionnaires solution. Read our full blog post for more insights: https://bit.ly/4emSJTW

RegEd's Enterprise Xchange Producer Management solution has been recognized as a “Functional Standout” in Celent's report, Insurance Distribution Management Systems: North American Edition. Learn more: https://bit.ly/3AvhX4M Karlyn Carnahan, Head of Celent’s North American Insurance practice, praises the achievement, saying, "We were delighted to name RegEd as a Functional Standout as they have built out a robust set of features over many years. Their extensive experience in the industry and large client base are testament to that."