@RegEd

RegEd is a market leader with innovative, best-in-class compliance, and risk management solutions for the financial services industry. @RegEdJ5

 Raleigh-Durham, North Carolina
reged.com
Joined November 2011
  • Tweets3.1K
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  • Followers481
234Media
#SEC casting "very wide net" on marketing rule compliance thinkadvisor.com/2023/09/14/…

8 Marketing Rule Documents the SEC Requests During Exams

The agency has already fined firms that have failed to comply, and it's looking for more offenders.

thinkadvisor.com
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15 Biggest #Compliance Challenges for #Advisors in 2023 bit.ly/3XPPjCG

15 Biggest Compliance Challenges for Advisors in 2023

One compliance topic was picked by 70% of respondents as among the hottest.

thinkadvisor.com
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#SEC to Weigh New #AI Rules for Brokerages bit.ly/3Cxxqio

SEC to Weigh New AI Rules for Brokerages

A plan to rein in conflicts of interest associated with the use of artificial intelligence could be introduced as soon as October.

thinkadvisor.com
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Join us for an upcoming webinar: "Removing Friction For Your Financial Professionals: Streamlined Onboarding Through Next-Gen Technology." ow.ly/ESuF50Ouzxg #produceronboarding #producermanagement
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Reg BI Is a ‘Work in Progress’: SEC Chief ow.ly/gxWU50Or0w8

Reg BI Is a 'Work in Progress': SEC Chief

SEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.

thinkadvisor.com
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Check out our latest blog post: "The Future of Advertising Compliance Review: Harnessing AI and Advanced Tech to Drive Efficiency and Reduce Risk". ow.ly/p8Gt50OpgGw
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Breaking Down the SEC's Sweep of Advisors' Texts #SEC #compliance ow.ly/qSfg50O4YXk

Lawyer Breaks Down SEC's Sweep of Advisors' Texts

The SEC is requiring that firms retain business communications but hasn't defined what that means.

thinkadvisor.com
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FSOC proposes overhaul of designation rules for nonbanks ow.ly/nIeM50NQnM4

U.S. financial regulators to tighten rules on non-banks, systemic risks

Top U.S. regulators on Friday proposed new rules to speed the assessment of financial stability risks and make it easier to designate non-bank institutions as systemically important, subjecting them...

reuters.com
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#SEC Issues New #RegBI Guidance ow.ly/mYTH50NOWlP

SEC Issues New Reg BI Guidance

A Q&A clarifies how to determine if an investment or strategy is in a client's best interest.

thinkadvisor.com
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#FINRA gets #SEC approval for expungement rule changes ow.ly/IAqJ50NMRtS

FINRA's Expungement Rules Just Got Tougher

The new rule imposes stricter standards on "straight-in" expungements and sets up a special roster of arbitrators.

thinkadvisor.com
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#FINRA highlights risk of phishing scams ow.ly/bRQw50NM86p

Phishing Scams on the Rise: FINRA

There are some key ways to spot these scams to protect both clients' identities and their assets, the regulatory group points out.

thinkadvisor.com
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FINRA has withdrawn its original remote inspection pilot program from 2022 and proposed a new pilot initiative. Check out our latest blog post where we highlight key factors of FINRA’s new remote inspections pilot program. ow.ly/veh750NJa4q #FINRA #RemoteInspections
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Brokerages need to update tech systems to show Reg BI work to SEC ow.ly/Se4450MVIyj #RegBI #SEC

Brokerages need to update tech systems to show Reg BI work to SEC

An SEC risk alert this week warned firms that surveillance systems fell short in ensuring reps consider costs and reasonably available alternatives. Will enforcement be next?

investmentnews.com
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#FINRA can start indicating on #BrokerCheck whether firm is ‘restricted’ ow.ly/3qgt50MUfcG

Finra can start indicating on BrokerCheck whether firm is ‘restricted’

Investors will be able to see whether a brokerage has been flagged for having a history of misconduct or employing a number of reps with disciplinary violations.

investmentnews.com
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SEC emphasizes probing marketing rule, Reg BI compliance #SEC #RegBI #Compliance ow.ly/y5b250MNjb5

SEC emphasizes probing marketing rule, Reg BI compliance

The agency's other examination priorities for this year include RIAs who manage private funds, ESG investing and crypto.

investmentnews.com
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#SEC releases risk alert on #RegBI compliance ow.ly/u4OP50MFOex

SEC Issues New Warning on Reg BI Compliance Failures

BDs are using outdated compliance systems, resulting in violations, the SEC exam division says.

thinkadvisor.com
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We are thrilled to be back as sponsors at FSI #OneVoice2023 this week in Palm Desert! It's going to be a great few days of connecting with industry colleagues on the latest trends and the important issues affecting their businesses. ow.ly/AgJr50My6Zw
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#FINRA will act if #SEC finalizes best-execution rules ow.ly/VI7t50MvlN6

FINRA 'Ready to Act' if SEC Finalizes Best-Execution Rules: CEO

Ensuring regulatory clarity on evolving best execution standards is a top priority for 2023, FINRA's Robert Cook says.

thinkadvisor.com
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7 Big Rules on the SEC's 2023 To-Do List ow.ly/C0Y450MlI60 #SEC #Compliance
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#SEC proposes sweeping changes to equity market structure ow.ly/rRP650M4qaT

SEC Proposes Rules That Would Squeeze Stock-Market Middlemen

Regulators are set to propose the biggest changes to U.S. stock-market rules since the mid-2000s, aiming to give small investors better prices on their trades.

wsj.com
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