UBS Upgrades L’Oréal to Buy, Sees Strong Sales Momentum and 20% Upside 
Samsung Forecasts Strong Q4 Profit on AI-Driven Memory Chip Boom 
Supreme Court to Hear Cisco Appeal on Alien Tort Statute and Human Rights Liability 
FCC Exempts Select Foreign-Made Drones From U.S. Import Ban Until 2026 
Rio Tinto–Glencore Merger Talks Spark Investor Debate Over Value, Strategy and Coal Exposure 
Stellantis to End Plug-In Hybrid Sales in the U.S. as Demand Shifts Toward Traditional Hybrids 
China’s AI Sector Pushes to Close U.S. Tech Gap Amid Chipmaking Challenges 
Trump Calls for 10% Credit Card Interest Rate Cap Starting 2026 
FCC Approves Expansion of SpaceX Starlink Network With 7,500 New Satellites 
FTC Blocks Edwards Lifesciences’ JenaValve Acquisition in Major Antitrust Ruling 
AustralianSuper Backs BlueScope Steel’s Rejection of $9 Billion Takeover Bid 
Federal Appeals Court Blocks Trump-Era Hospital Drug Rebate Plan 
EU Orders Elon Musk’s X to Preserve Grok AI Data Amid Probe Into Illegal Content 
SK Hynix Shares Hit Record High as AI Memory Demand Fuels Semiconductor Rally 
Johnson & Johnson Secures Tariff Exemption by Agreeing to Lower Drug Prices in the U.S. 
Ford Targets Level 3 Autonomous Driving by 2028 with New EV Platform and AI Innovations 
BlueScope Steel Shares Slip After Board Rejects A$13.2 Billion Takeover Bid 
Raleigh, April 06, 2016 -- RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, today announced that its Compliance Questionnaires solution has achieved the milestone of processing 3 million submissions, enabling its broker-dealer clients to efficiently manage their compliance programs. Today, Compliance Questionnaires is used by more than 400 enterprise clients, including 80% of the top 25 broker-dealers.
RegEd’s Compliance Questionnaires is an enterprise application and part of RegEd’s Compliance and Audit Management platform. As a core module addressing FINRA compliance regulation, Compliance Questionnaires leverages the platform’s robust workflow engine, enabling firms to design complex workflows that mirror their best practices, and includes multiple reviewer, approval and sign-off stages. In addition, the solution seamlessly integrates with FINRA WebEFT, enabling registered representatives to affirmatively attest to the accuracy of their U4 data on file.
“Integral to maintaining a strong compliance program is the ability to identify and analyze deficiencies and outliers across the representative population and report on the results,” stated Ann Robinson, Senior Vice President, RegEd, and a former senior compliance officer at a large broker-dealer. “For firms with hundreds or thousands of registered representatives, readily identifying and addressing deficiencies before they cause the firm harm is akin to looking for the proverbial needle in the haystack.”
RegEd’s Compliance Questionnaires provides a robust set of integrated, workflow-driven enterprise tools that enable firms to initiate, distribute and track annual compliance questionnaires required by FINRA and address and report on critical compliance deficiencies before risk materializes. A fully configurable solution, Compliance Questionnaires can be specifically tailored to meet firm requirements and enables firms to be fully responsive to document requests from internal stakeholders and regulators, demonstrating a culture of compliance.
"RegEd solutions are implemented in hundreds of broker-dealers, serving hundreds of thousands of advisors, providing us unique insight into the specific challenges the industry faces on a daily basis,” stated John M. Schobel, CEO and Founder, RegEd. “Our clients depend on RegEd’s Compliance Questionnaires solution to reduce non-compliance gaps, eliminate time-consuming and suboptimal processes, and maintain good standing with FINRA regulations.”
Schobel continued, “Achieving the milestone of 3 million compliance questionnaire submissions illustrates the dependability and effectiveness of RegEd solutions. Implementing innovative technology that keeps our clients out in front of increasing compliance demands is a key driver at RegEd. We continue to look for ways to leverage technology to pinpoint potential risk and enable more efficient operations.”
About RegEd
RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers. RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. For more information, visit www.reged.com.
Madelyn Matthews 919-653-5202 [email protected]
