RegEd provides compliance, licensing and regulatory-management software for financial-services firms. Its platform supports onboarding and licensing of agents and advisors, automates compliance reviews and audits, tracks regulatory changes, and delivers required training and continuing education. Insurers, banks and broker-dealers use RegEd to streamline compliance workflows, reduce manual risk and stay aligned with evolving industry regulations.
Vendor
RegEd
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- RegEd CLEARXchange
Real‑time credential validation enabling compliant “clear to sell” for insurance agents and advisors.
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Enterprise SaaS for capturing, tracking and resolving consumer complaints with audit-ready workflows.
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- Employee Compliance Dashboard
Unified SaaS dashboard to monitor and manage employee compliance obligations.
- Enterprise Compliance Dashboard
Unified SaaS platform delivering compliance oversight and risk control for financial firms.
- FINRA Registration Profiles
Centralized SaaS for managing FINRA registration, filings and rep data.
- Enterprise Advertising Review
AI-powered enterprise advertising review that automates compliance, speeds approvals, and reduces review time.
- State Requirements
Unified RegTech SaaS platform streamlining compliance, licensing, and regulatory review for financial firms.
- Insurance Ce
Centralized SaaS for insurance continuing education, automated tracking, and jurisdiction reporting.
- Gifts, Gratuities and Contributions
Enterprise SaaS for centralized tracking, approvals and aggregation of gifts, entertainment and political contributions.
- Compliance Questionnaires
Enterprise SaaS for creating, distributing and tracking regulatory compliance questionnaires.
- Policies Procedures Management
Enterprise SaaS for centralized compliance policy & procedures management with version control and audit trail.
- Registered Representative Onboarding
Accelerate and automate broker‑dealer rep onboarding with configurable workflows and compliance checks.
- Branch Audit Management
Enterprise SaaS to plan, execute, remediate and report branch inspections for regulated firms.
- Outside Business Activities
Centralized SaaS to automate Outside Business Activities disclosures, attestations and supervisory workflows.
- Firm Element Training
Industry-focused SaaS for FINRA Firm Element training, course delivery, and compliance tracking.
- Personal Securities Account Management
Streamlines and automates compliance and reporting of employee personal‑securities trading.
- Annual Compliance Meeting on Demand
On-demand, FINRA-aligned annual compliance meeting platform with custom modules and attestation tracking.
- CE Program Management
Streamline and manage live CE programs for compliance-regulated industries with ease.
- Regulatory Change Management
SaaS solution delivering continuous regulatory‑change tracking, automated compliance workflows and audit‑ready dashboards.
- Anti Money Laundering Training
Unified online AML training platform for insurance & securities professionals to meet compliance requirements.
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Unified enterprise SaaS for automating agent onboarding, licensing, compliance and credential management.
- Regulatory Examination Management
RegEd Regulatory Examination Management – centralised solution to streamline regulatory exam workflows and audits.
- Form ADV Part 2B Supplement
Automated enterprise workflow for generating and maintaining SEC-compliant Form ADV Part 2B supplements.
- CE Central
Centralized SaaS for tracking and managing producer continuing-education compliance.
- Alerts 2.0
Automated alert system that syncs producer licensing data with regulator records in real time.
- Permissive Registrations
Cloud‑based flexible compliance solution for managing permissive registrations and supervision workflows.
- Managed Services
Scalable, outsourced licensing & compliance operations for financial firms.
- Education Training Solution Suite
Enterprise-grade compliance & training SaaS empowering financial services firms to manage education and certification.
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Enterprise‑grade SaaS for unified trade surveillance and account monitoring.