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!

Why do leading firms trust RegEd’s Conflicts of Interest solution for seamless year-end compliance? Here’s how our solution empowers firms to efficiently manage COI: 𝗘𝗻𝗱-𝗼𝗳-𝗬𝗲𝗮𝗿 𝗧𝗮𝘀𝗸 𝗩𝗶𝘀𝗶𝗯𝗶𝗹𝗶𝘁𝘆: • 𝗗𝗮𝘀𝗵𝗯𝗼𝗮𝗿𝗱 𝗩𝗶𝗲𝘄: A centralized hub with quick links to all outstanding COI activities, as well as CE, IAR CE, and other requirements. • 𝗩𝗶𝘀𝘂𝗮𝗹 𝗔𝗹𝗲𝗿𝘁𝘀 𝗮𝗻𝗱 𝗲𝗺𝗮𝗶𝗹 𝗮𝘂𝘁𝗼-𝗻𝗼𝘁𝗶𝗳𝗶𝗰𝗮𝘁𝗶𝗼𝗻𝘀: Highlight requirements and schedule reminders to ensure users don’t miss critical tasks. 𝗔𝗻𝗻𝘂𝗮𝗹 𝗖𝗼𝗺𝗽𝗹𝗶𝗮𝗻𝗰𝗲 𝗤𝘂𝗲𝘀𝘁𝗶𝗼𝗻𝗻𝗮𝗶𝗿𝗲𝘀: • Consolidate policies and procedures into one simplified questionnaire with segmented sections for clarity. • Collect rep data and validate understanding of the firm’s policies and procedures. • Review flagged responses to ensure all annual items are reported and resolved. • Integrate with RegEd Outside Business and Outside Account solutions for reps to validate the information is current and update if necessary. 𝗚𝗶𝗳𝘁𝘀, 𝗚𝗿𝗮𝘁𝘂𝗶𝘁𝗶𝗲𝘀, 𝗮𝗻𝗱 𝗖𝗼𝗻𝘁𝗿𝗶𝗯𝘂𝘁𝗶𝗼𝗻𝘀 𝗖𝗼𝗺𝗽𝗹𝗶𝗮𝗻𝗰𝗲: Manage thresholds, alerts, reviews, and authorizations with ease to avoid year-end violations. 𝗢𝗕𝗔 𝗮𝗻𝗱 𝗢𝘂𝘁𝘀𝗶𝗱𝗲 𝗔𝗰𝗰𝗼𝘂𝗻𝘁 𝗗𝗶𝘀𝗰𝗹𝗼𝘀𝘂𝗿𝗲 𝗥𝗲𝘃𝗶𝗲𝘄, 𝗔𝘁𝘁𝗲𝘀𝘁𝗮𝘁𝗶𝗼𝗻, 𝗮𝗻𝗱 𝗠𝗮𝗻𝗮𝗴𝗲𝗺𝗲𝗻𝘁: Streamline review and verification of disclosures to ensure all are correct. 𝗦𝗲𝗹𝗳-𝗦𝗲𝗿𝘃𝗶𝗰𝗲 𝗖𝗮𝗽𝗮𝗯𝗶𝗹𝗶𝘁𝘆: Empower end-users with tools to verify and complete year-end requirements efficiently. 𝗘𝗻𝗱-𝗼𝗳-𝗬𝗲𝗮𝗿 𝗥𝗲𝗽𝗼𝗿𝘁𝗶𝗻𝗴 𝗮𝗻𝗱 𝗔𝗻𝗮𝗹𝘆𝘀𝗶𝘀: Generate comprehensive year-end reports to analyze and address outstanding compliance tasks. 𝗖𝘂𝘀𝘁𝗼𝗺 𝗡𝗼𝘁𝗶𝗳𝗶𝗰𝗮𝘁𝗶𝗼𝗻𝘀: Tailor notifications in a user-friendly "welcome center" to provide clear guidance and reminders. 𝗣𝗼𝗹𝗶𝘁𝗶𝗰𝗮𝗹 𝗖𝗼𝗻𝘁𝗿𝗶𝗯𝘂𝘁𝗶𝗼𝗻𝘀 𝗦𝗺𝗮𝗿𝘁 𝗠𝗮𝘁𝗰𝗵𝗲𝘀: Automatically reconcile political contributions against federal, state, and local public records to ensure limits are met.

#SEC Rule Predictions: What's In, What's Out in 2025

Join us for our upcoming webinar featuring Kaitlyn Small, SILA-A, RegEd Manager of Regulatory Compliance, and Michael Pouliot, EVP of Sales at RegEd. The session will focus on the latest developments in adjuster licensing, reflecting on the significant changes from 2024 and exploring anticipated regulatory shifts in 2025. Don’t miss this opportunity to gain expert insights and actionable strategies! Register here: https://bit.ly/3ZiKhjo

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