RegEd

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

[RegEd @RegEd]

#SEC casting "very wide net" on marketing rule compliance

https://t.co/60cy6KCAYC

[RegEd @RegEd]

15 Biggest #Compliance Challenges for #Advisors in 2023

https://t.co/J2fY94kxDk

[RegEd @RegEd]

#SEC to Weigh New #AI Rules for Brokerages
https://t.co/riV1v8Kz2v

[RegEd @RegEd]

Join us for an upcoming webinar: "Removing Friction For Your Financial Professionals: Streamlined Onboarding Through Next-Gen Technology."
https://t.co/4VCHZ7rBka

#produceronboarding #producermanagement

[RegEd @RegEd]

Reg BI Is a ‘Work in Progress’: SEC Chief

https://t.co/z2dBJR8Uhx

[RegEd @RegEd]

Check out our latest blog post: "The Future of Advertising Compliance Review: Harnessing AI and Advanced Tech to Drive Efficiency and Reduce Risk".

https://t.co/aQEJ4hI40T

[RegEd @RegEd]

Breaking Down the SEC's Sweep of Advisors' Texts

#SEC #compliance
https://t.co/eDWUyh0R6N

[RegEd @RegEd]

FSOC proposes overhaul of designation rules for nonbanks
https://t.co/qojFBRH3cY

[RegEd @RegEd]

#SEC Issues New #RegBI Guidance
https://t.co/ji4pvqMY4N

[RegEd @RegEd]

#FINRA gets #SEC approval for expungement rule changes
https://t.co/5ZP39YrNkQ

[RegEd @RegEd]

#FINRA highlights risk of phishing scams
https://t.co/I4MyLTGU73

[RegEd @RegEd]

FINRA has withdrawn its original remote inspection pilot program from 2022 and proposed a new pilot initiative.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.
https://t.co/8c7p0Ds1Bl

#FINRA #RemoteInspections

[RegEd @RegEd]

Brokerages need to update tech systems to show Reg BI work to SEC
https://t.co/Z0oKtfPX7B

#RegBI #SEC

[RegEd @RegEd]

#FINRA can start indicating on #BrokerCheck whether firm is ‘restricted’

https://t.co/KFipiBI5JN

[RegEd @RegEd]

SEC emphasizes probing marketing rule, Reg BI compliance

#SEC #RegBI #Compliance

https://t.co/FEkZ3sgY24

[RegEd @RegEd]

#SEC releases risk alert on #RegBI compliance

https://t.co/Zu2r3fVIHl

[RegEd @RegEd]

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.

https://t.co/cBufs8xsA9

[RegEd @RegEd]

#FINRA will act if #SEC finalizes best-execution rules

https://t.co/iIA6u9QfuP

[RegEd @RegEd]

7 Big Rules on the SEC's 2023 To-Do List
https://t.co/ircQSJuE46

#SEC #Compliance

[RegEd @RegEd]

#SEC proposes sweeping changes to equity market structure

https://t.co/17VFKbyznb