John M. Schobel

Consistent focus on innovating applications that reach 500,000+investment advisors and agents, helping @RegEd clients identify and mitigate risk.

[John M. Schobel @RegEdJ5]

Very excited for our new private equity partners, Gryphon Investors. They are the perfect partners to help RegEd succeed in the coming years. The entire management team joins me in enthusiastically looking forward to our collabor…https://t.co/9opwL009U3 https://t.co/5BHdrH8hMf

[John M. Schobel @RegEdJ5]

Honoring @RegEd employees with service greater than 10 years! And this is only half of the 60 of them.

[John M. Schobel @RegEdJ5]

Our friends at @FINRA participating in our user group and updating the industry on examination and tech enhancements. #rca2017 #finra

[Nicole Klemm @RegEdNicole]

RegEd 2017 and Beyond with our CEO - @RegEdJ5 - at #RCA2017!

[John M. Schobel @RegEdJ5]

Vulnerable Adults remain a focus for #finra enforcement in 2017, As does #AML, Variable Annuities, trade surveillance, books & records....

[John M. Schobel @RegEdJ5]

Brian Rubin of Sutherland and Sue Light of @FINRA Enforcement analyze trends in #broker-dealer enforcement at @RegEd #rca2017

[John M. Schobel @RegEdJ5]

@RegEd CODE "allows attorneys to share effort with analysts," freeing up precious time and reducing burden on legal and Complaince #rca2017

[John M. Schobel @RegEdJ5]

Insurance regulatory change is an unending torrent - 120 clients and @RegEd experts present best practices to solve for it. #rca2017

[John M. Schobel @RegEdJ5]

Karen Hornig of the @niprcom presents opportunities for efficiency in the complex regulatory patchwork of insurance regulation. #rca2017

[John M. Schobel @RegEdJ5]

Beware of outside activities becoming private securities transaction if they seek funding for any venture; #finra #conflicts #regedrca

[John M. Schobel @RegEdJ5]

Existence of good policies not sufficient - need to ensure that reps have read and understood them; #reged

[John M. Schobel @RegEdJ5]

Conflicts of Interest panel includes different business models for large populations, with a focus on ensuring proper disclosure. #reged

[John M. Schobel @RegEdJ5]

@RegEdNicole @RegEd THANKS FOR THE MENTION! This is the most fun part of our job, interacting with so many brilliant clients.

[John M. Schobel @RegEdJ5]

Gearing up for our fourth annual #RegEd Compliance Alliance in Raleigh, NC. Look forward to 110 clients representing 70 financial firms.

[John M. Schobel @RegEdJ5]

Should financial services technology staff be registered with so they can be regulated? Some at #FINRA South Regional suggested so...

[John M. Schobel @RegEdJ5]

Laura Cognetti on branch office supervision panel at #FINRA

[John M. Schobel @RegEdJ5]

New #FINRA #cybersecurity rules? Panelists at South Regional says absolutely. All firms regardless of size need one, not just big banks.

[John M. Schobel @RegEdJ5]

Marijuana Investment Opportunities sound like a potential for real fraud. #FINRA

[John M. Schobel @RegEdJ5]

Two major priorities for #FINRA exam priorities: (1) sales to seniors (suitability and "senior designations") and (2) Cyber Security.

[John M. Schobel @RegEdJ5]

#FINRA: they have a focus on getting high risk brokers out of the industry, but appreciate that most brokers are NOT problematic.