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 * OPTIMIZE COMPLIANCE. MANAGE RISK. ENABLE GROWTH.
   
   The industry’s most comprehensive compliance management platform, trusted by
   more than 80% of top financial services firms.
   
   GET STARTED
   

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HOW WE CAN HELP



PRODUCER
MANAGEMENT

The only unified solution to manage the full lifecycle of agent and advisor
onboarding and compliance, delivering a seamless user experience and “clear to
sell” signal for your distribution partners.

COMPLIANCE
MANAGEMENT

Efficiently manage requirements from FINRA, SEC, state DOI and other regulators
of the financial services industry. Including Advertising Review, Conflicts of
Interest, Branch Audits and more.

REGULATORY CHANGE
MANAGEMENT

Everything you need to be aware of, comply with, and demonstrate compliance with
relevant regulatory changes, including managing impact on your firm’s policies
and procedures.

EDUCATION &
TRAINING

The leading provider of Compliance Education, Product Training and Annual
Compliance Programs, RegEd delivers more than one million CE courses and
insurance certificates each year.


INDUSTRY LEADERSHIP




1,000+

Clients, including 200 enterprise clients, comprising the nation’s top financial
services firms


1.6M+

End users in broker-dealers, insurance companies and brokers


13M+

Active licenses and registrations managed


6M+

Sales campaigns and marketing pieces submitted for compliance review


300,000+

State Licensing, Appointment, CE and Registration Rules, Maintained by RegEd’s
Regulatory Affairs Team




WHO WE SERVE



RegEd serves more than 200 enterprise clients, comprising the nation’s largest
firms in financial services and beyond.


INSURANCE COMPANIES

Manage compliance with State DOI requirements, licensing and appointments
transactions, continuing education and more.

LEARN MORE


BROKER-DEALERS

Manage FINRA compliance, conflicts of interest, training and more for
broker-dealers, investment advisers and other securities firms.

LEARN MORE


BANKS

Identify highly effective and cost-efficient strategies to manage compliance for
banks, credit unions and other financial institutions.

LEARN MORE


OTHER INDUSTRIES

Manage compliance and code of conduct in highly regulated industries. We also
partner with self-insured employers to manage adjuster licensing and related
processes.

LEARN MORE


“WITH REGED OUR TECHNOLOGY WILL DELIVER THE RESOURCES AND CAPABILITIES TO ENABLE
THE CONTINUED SUCCESS OF OUR BUSINESS. REGED WAS SELECTED BECAUSE THEY HAVE THE
MOST COMPREHENSIVE SOLUTION TO ADDRESS OUR BROAD SPECTRUM OF COMPLIANCE
REQUIREMENTS.”




– CHIEF COMPLIANCE OFFICER, TIER-1 BROKER-DEALER


FEATURED RESOURCES



Thought leadership from industry and RegEd subject matter experts.


WEBINAR: BRANCH INSPECTIONS: REGULATORY DEVELOPMENTS AND THE LATEST BEST
PRACTICES

This webinar provides an in-depth analysis of the most recent developments in
branch inspection regulations and best practices. This session is designed to
provide a comprehensive understanding of the impact and implications of the
recently approved FINRA Remote Inspections Pilot Program and Residential
Supervisory Location Proposals by the Securities and Exchange Commission (SEC).

LEARN MORE


CELENT WEBINAR: MARKETING COMPLIANCE IN THE FINANCIAL SERVICES INDUSTRY

This webinar features Neil Katkov, PhD, Director of Risk at Celent, and RegEd
Product Management leaders who provide an overview of the different challenges
faced by the financial services industry in regards to marketing and advertising
compliance.

LEARN MORE


WEBINAR: WOMEN IN LEADERSHIP

Recorded live at the 2023 RegEd Compliance Alliance conference, this panel
discussion focuses on the career paths and experiences of women in leadership
roles within the financial services industry. Panelists share their insights on
how they reached their current positions and the challenges and opportunities
they have faced along the way.

LEARN MORE


AITE-NOVARICA REPORT: DISTRIBUTION CHANNEL MANAGEMENT: INSURANCE CIOS FOCUS ON
IMPROVING THE ONBOARDING EXPERIENCE

This report presents and discusses the findings of interviews with ten life,
annuity, and property/casualty insurance carriers that varied in size between
midsize and large.

LEARN MORE


CONTACT US



Schedule a personalized consultation with our solution and subject matter
experts. We’ll provide an overview of how RegEd’s enterprise platform enables
our clients to improve efficiency, effectiveness and transparency across the
enterprise.

SCHEDULE A DEMO


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SOLUTIONS

MENUMENU
 * Compliance Management
 * Education & Training
 * Producer Management
 * Regulatory Change Management


INDUSTRIES

MENUMENU
 * Banking
 * Broker-Dealer
 * Insurance
 * Other Industries


RESOURCES AND UPDATES

MENUMENU
 * Resources
 * Updates


CONTACT US

Address: 2100 Gateway Centre Blvd.,
Suite 100, Morrisville, NC 27560
Sales Inquiries: 800.334.8322
For customer support, click here.

HUMAN RESOURCES
For Personnel-Related HR matters:
919.819.1263

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