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…lnkd.in/d5VwBfm lnkd.in/dwa-Jpu

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

Our friends at @FINRA participating in our user group and updating the industry on examination and tech enhancements. #rca2017 #finra – at Hilton Head Island, SC

Vulnerable Adults remain a focus for #finra enforcement in 2017, As does #AML, Variable Annuities, trade surveillance, books & records.... – at Hilton Head Island, SC

Brian Rubin of Sutherland and Sue Light of @FINRA Enforcement analyze trends in #broker-dealer enforcement at @RegEd #rca2017 – at Hilton Head Island, SC

Insurance regulatory change is an unending torrent - 120 clients and @RegEd experts present best practices to solve for it. #rca2017 – at Hilton Head Island, SC

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

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

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

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

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

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

Laura Cognetti on branch office supervision panel at #FINRA – at Fort Lauderdale, FL

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

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

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

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

#FINRA is hiring an analytics team to identify high rep risks...@AnnRobinson1210

#FINRA says that Risk Control Assessment is an important tool to help examiners understand firms' business, clients and counterparties.