RegEd
RegEd is a private enterprise SaaS provider of compliance and credentialing software for the financial services and insurance industries, serving 200+ enterprise clients including 80% of the top 25 financial services firms with AI-enabled producer management, advertising review, and regulatory change solutions.
- Company typePrivate
- Founded2000
- HeadquartersMorrisville, United States
- Headcount251–500
- GTM typeB2B
- OfferingSoftware
What RegEd does
RegEd is a privately held enterprise software company founded in 2000 by former regulators and headquartered in Morrisville, North Carolina. It provides RegTech compliance and credentialing solutions for the financial services and insurance industries, serving more than 200 enterprise clients including 80% of the top 25 financial services firms, with 1.6 million end users across broker-dealers, insurance carriers, banks, and registered investment advisers. The platform is organized into four solution suites (Compliance Management, Producer Management, Education & Training, and Compliance Dashboards) unified by a proprietary compliance rules engine and deep integrations with NIPR, FINRA WebEFT, DTCC, FIS, and Pershing.
The core technology combines workflow-directed processes, data integration, regulatory intelligence, and automated validations with an AI layer branded "Eddie" that performs language detection, disclosure validation, multimedia transcription, and generative revision suggestions across advertising compliance review, producer onboarding, and regulatory change management. The company maintains 300,000+ state licensing rules and vets 40,000+ regulatory items annually through a Regulatory Affairs team with 500+ years of combined experience, and processes 14 million+ active licenses/registrations and 8 million+ advertising submissions.
RegEd operates a custom-priced annual enterprise SaaS subscription model supplemented by managed services for producer licensing outsourcing and a high-volume professional services revenue stream from continuing education delivery (more than one million CE courses and over 1.27 million certificates annually). Go-to-market is direct enterprise field sales with a consultative demo-driven process; the company holds SOC 2 Type II, SOC 1, ISO 27001, and SEC 17(a)-4 certifications and is the nation's highest volume filer of FINRA filings.
RegEd firmographics
Firmographics- Name
- RegEd
- Legal name
- RegEd
- Website
- https://reged.com
- Company type
- Private
- Founded year
- 2000
- Operating status
- Operating
- Headcount range
- 251–500 employees
- Short description
- RegEd is a private enterprise SaaS provider of compliance and credentialing software for the financial services and insurance industries, serving 200+ enterprise clients including 80% of the top 25 financial services firms with AI-enabled producer management, advertising review, and regulatory change solutions.
- Ownership category
- akta.pro rank
RegEd industry classification
Industry- Product category
- Regulatory Compliance Software (RegTech)
- NAICS
- Custom Computer Programming Services (541511), Financial Transactions Processing, Reserve, and Clearinghouse Activities (522320)
- SIC
- Services-Prepackaged Software (7372), Services-Computer Programming, Data Processing, Etc. (7370)
- akta.pro primary industry
- GRC, Policy Management & Controls Testing (SOX/ICFR, audit management) (FSAGAFAM)
- akta.pro secondary industries
- Regulatory Reporting & Compliance Automation (FinCEN/CTR/SAR, EMIR/MiFID, etc.) (FSAGAFAG), Regulatory Compliance Management (RegTech) (BPAEAPAB), Risk Scoring, Decisioning & Orchestration (rules, ML, workflow) (FSAGAFAF)
Keywords
Where RegEd is headquartered
LocationHeadquarters
- HQ city
- Morrisville
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
RegEd business model
Business model- GTM type
- B2B
- Offering type
- Software
- Cost components
- Personnel, Technology or R&D, Marketing or Sales, Operations, Infrastructure
Revenue model
- Enterprise SaaS Subscription: RegEd operates as a RegTech enterprise software provider offering compliance and producer management solutions on a subscription basis. The company delivers enterprise software to financial services firms including compliance management, licensing, registration, and education solutions.
- Managed Services: RegEd offers expert outsourcing services for producer licensing and related processes, helping firms reduce operational costs and scale operations without IT overhead.
- Education and Training: RegEd delivers compliance education, product training, and annual compliance programs. The company delivers more than one million CE courses and insurance certificates each year, and produces over 1,270,000 certificates of completion annually.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Subscription | Annual | Enterprise custom pricing - Quote-based SaaS subscription |
Go-to-market motion1 record
Distribution channels1 record
Marketing channels6 records
RegEd product offering
Product offeringCore offering
RegEd provides enterprise compliance and credentialing SaaS solutions for the financial services and insurance industries. Its unified platform enables compliance management, producer licensing and registration, advertising review, regulatory change management, and continuing education, integrated with regulatory bodies such as FINRA, NIPR, SEC, and state departments of insurance.
Product overview
RegEd is a compliance and credentialing technology provider for the financial services and insurance industries offering a unified enterprise SaaS platform with modular solutions. The platform comprises four solution suites: (1) Compliance Management covering Advertising Review, Branch Audits, Complaints, Compliance Questionnaires, Form ADV, Gifts/Gratuities, OBAs, Personal Securities Accounts, Policies & Procedures, Regulatory Change Management, and Regulatory Examination Management; (2) Education & Training including AML Training, Annual Compliance Meetings, Annuities Training Platform, CE Central, CE Program Management, Firm Element Training, Insurance CE, and IAR CE; (3) Producer Management featuring Alerts 2.0, FINRA Registration Profiles, Managed Services, Permissive Registrations, Producer Onboarding, CLEARXchange, Registered Rep Onboarding, State Requirements, and Xchange Enterprise; and (4) Compliance Dashboards (SCORE Employee and Enterprise). The platform is unified by RegEd's proprietary compliance rules engine, Eddie AI-powered automation, and deep integrations with NIPR, FINRA WebEFT, and regulatory databases. Key differentiators include 500+ years of combined regulatory affairs team expertise, processing 8+ million advertising submissions and managing 14+ million active licenses. The company serves 200+ enterprise clients including 80% of the top 25 financial services firms.
Differentiator
Problem solved
Functional benefit
Brands
- Eddie: AI-powered compliance assistant working 24/7 across compliance and producer management workflows, helping automate routine tasks, surface critical information, and provide proactive alerts.
- Xchange
- RegEd CLEARXchange
- RegEd SCORE
Products and services
- AI-Powered Enterprise Advertising Review Enterprise advertising compliance review solution powered by AI and workflow automation. Automates marketing compliance review and streamlines submission-to-approval with AI-driven language detection, multimedia transcription, smart disclosures, and configurable routing. Used by broker-dealers, banks, and dual registrants.
- Compliance Management Solution Suite Enterprise software suite for managing compliance requirements from FINRA, SEC, state DOI, and other financial services regulators. For enterprise financial services firms.
- Xchange Producer Management Unified solution powering the full lifecycle of agent and advisor credentialing. Manages and tracks representatives' licensing, registration, and compliance credentials using an extensive compliance rules engine. For insurance carriers and broker-dealers.
- Education & Training Solution Suite Provider of Compliance Education, Product Training, and Annual Compliance Programs for the financial services industry. Includes AML Training, Annual Compliance Meetings, Annuities Training, CE Central, Firm Element Training, Insurance CE, and IAR CE. Delivers more than one million CE courses and insurance certificates each year.
- Eddie AI Compliance Assistant AI-powered virtual compliance assistant working 24/7 across business workflows. Automates routine tasks, surfaces relevant information to stakeholders, and provides proactive alerts. Embedded across the platform powering advertising review, regulatory change management, and licensing and registration workflows.
- Xchange Accelerate Pre-configured producer management solution designed to modernize licensing, appointment, and registration operations. Automates workflows across the full producer lifecycle. Claims include 101% five-year ROI for carriers and 141% five-year ROI for distributors.
- Managed Services for Producer Licensing Expert outsourcing services for producer licensing and related processes using RegEd's Xchange solution. Prepares required filings and transactions, orders supporting documents, validates producer data against current regulatory sources, and maintains evidence of filing.
- Regulatory Change Management Enterprise solution that helps firms identify and assess relevant regulatory changes, manage resulting requirements, and demonstrate compliance. Backs 40,000+ regulatory items vetted annually by RegEd's Regulatory Affairs Team.
- AI Compliance PreCheck for Broker-Dealers AI-powered tool embedded within the Advertising Review solution that helps broker-dealer content creators identify problematic language and validate disclosures before formal compliance review.
- Branch Audit Management Enterprise software solution for efficiently planning, scheduling, conducting, resolving, and reporting on branch inspections in accordance with FINRA Rule 3110 and other regulatory guidelines. Used by broker-dealers and independent brokerages.
- Alerts 2.0 Xchange Enterprise module that enables companies to identify individuals and agencies for notifications and automated NIPR PDB data updates. Provides same-day automated notification when a state record change occurs, reducing manual PDB searches.
- Complaint Management Enterprise software solution to systematically capture and track complaints, streamline the end-to-end process of resolution and remediation, and facilitate compliant communications with customers. Includes FINRA Rule 4530(d) electronic complaint reporting.
- SCORE Enterprise Compliance Dashboard Enterprise Compliance Dashboard enabling stakeholders to identify trends and exceptions before the firm is exposed to potential risk. Includes customizable dashboards, aggregate compliance program data, and trending analysis.
- Annuities Training Platform
Quantifiable outcome
- 50% reduction in compliance review time
- +9 more outcomes
Companies that use RegEd
Customer profileNamed customers5 records
Segments5 records
Ideal customer profiles3 records
RegEd technology and API
TechnologyTechnology focussed Yes
API detail
- Has API
- Yes
- API docs
- API detail
Core technology
AI maturity
App detail
Integration12 records
AI capability10 records
Feature8 records
RegEd partnerships and signals
Strategic signalPartnerships
Six partnerships are on record, tiered core and minor.
- NIPR (National Insurance Producer Registry)coreNIPR is a key technology partner providing the Producer Database (PDB) for automated producer data reconciliation. RegEd's Xchange Alerts integrates with NIPR's PDB to help insurers and distributors reduce NIGOs and maintain accurate, real-time producer data with over 95% of updates automated.
- DTCCcoreDTCC integration enables regulatory data exchange and compliance workflow automation for financial services firms using RegEd's enterprise platform.
- IRI (Insured Retirement Institute)coreRegEd partners with IRI to deliver product training and state suitability courses to close to 200,000 producers representing more than 80% of annuities carriers. RegEd CEO John Schobel serves on IRI's Board of Directors.
- FINRAcoreDirect integration with FINRA systems enables electronic filing of U4/U5 amendments, WebEFT prepopulation, and reconciliation. RegEd is the nation's highest volume filer of FINRA filings.
- FIS (Financial Industry Regulatory Authority)coreDirect feeds for surveillance powered by FIS enable automated trade monitoring and compliance surveillance within RegEd's Personal Securities Account Management solution.
- CelentminorResearch and advisory partnership for thought leadership content including webinars on marketing compliance and industry trends in financial services.
Scale indicators20 records
Recent moves6 records
Expansion highlights6 records
RegEd competitors and assessment
Company assessmentDirect peers
- Smarsh: Smarsh provides compliance and archiving solutions for financial services firms, with overlapping capabilities in advertising review, communications surveillance, and regulatory archiving. Comparable enterprise customer base and direct overlap in broker-dealer and bank compliance workflows.
- Theta Lake: Theta Lake provides AI-powered compliance and security for unified communications in financial services, with overlap in advertising review and supervisory workflows. Competes directly in AI-enabled compliance review and multimedia content moderation.
- Behavox: Behavox provides AI-driven compliance and conduct risk solutions for financial institutions, including communications surveillance and regulatory compliance. Direct overlap in NLP-based compliance review for broker-dealers and banks.
- SteelEye: SteelEye offers a compliance platform for financial services spanning communications surveillance, trade surveillance, and regulatory reporting. Comparable target customers (broker-dealers, asset managers) and similar AI-led approach to compliance automation.
Emerging players
- Ascent RegTech: Ascent RegTech provides AI-driven regulatory intelligence and compliance workflow tools for financial services firms. Comparable focus on regulatory change management and AI automation; smaller-scale competitor to RegEd's Regulatory Change Management offering.
Broad incumbents
- NICE Actimize: NICE Actimize offers enterprise financial crime, risk, and compliance solutions to global financial institutions, including AML, trade surveillance, and case management. Large incumbent with overlapping compliance capability set but serving a broader risk/crime mandate.
- Mitratech (TeamConnect): Mitratech provides enterprise GRC and legal compliance software including policy management, regulatory change management, and risk management. Overlap in compliance/GRC modules that compete with RegEd's policy and procedure management offerings.
- Wolters Kluwer (OneSumX for Regulatory Reporting): Wolters Kluwer's OneSumX suite provides regulatory reporting, compliance, and risk management for financial institutions globally. Broader incumbent with overlapping RegTech capabilities but spanning wider portfolio beyond US broker-dealer compliance.
- Diligent (Galvanize/ACL): Diligent offers GRC and audit management software including the Galvanize and ACL platforms, with overlap in compliance, audit, and risk management. Serves regulated industries including financial services as a broader GRC incumbent.
- Broadridge Financial Solutions: Broadridge is a listed infrastructure provider for financial services with adjacent regulatory reporting, communications, and data analytics capabilities. Listed integration partner to RegEd, and a broad incumbent whose offerings increasingly overlap with compliance workflows.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat6 records
Key risks6 records
Key highlights7 records
Customer concentration
RegEd social profiles
Digital presenceRegEd compliance and trust
Trust signalCompliance4 records
RegEd financial estimates
Financial estimateRevenue estimate
Valuation estimate
RegEd leadership team
Management profileNumber of profiles
Profiles7 records
RegEd funding detail
Funding detailFunding overview
Funding rounds1 record
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
RegEd M&A and investment
M&A and investmentM&A3 records
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about RegEd
What does RegEd do?
RegEd provides enterprise compliance and credentialing SaaS solutions for the financial services and insurance industries. Its unified platform enables compliance management, producer licensing and registration, advertising review, regulatory change management, and continuing education, integrated with regulatory bodies such as FINRA, NIPR, SEC, and state departments of insurance.
Is RegEd a public or private company?
RegEd is a private company. It is classified as founder individual operated bootstrapped and is currently operating.
When was RegEd founded?
RegEd was founded in 2000. It employs 251 to 500 people.
Where is RegEd based?
RegEd is headquartered in Morrisville, United States, in the North America region.
How does RegEd make money?
Three revenue lines are on record. Enterprise SaaS Subscription is the primary driver. The others are managed Services and education and Training.
Who are RegEd's main competitors?
Direct peers on record are Smarsh, Theta Lake, Behavox and SteelEye. Ascent RegTech is listed as an emerging player. Broad incumbents are NICE Actimize, Mitratech (TeamConnect), Wolters Kluwer (OneSumX for Regulatory Reporting), Diligent (Galvanize/ACL) and Broadridge Financial Solutions.
Does RegEd have an API?
Yes. RegEd offers a public Developer Portal at developer.reged.com providing API access and integration capabilities. The Advertising Review solution features API integration with CRM and marketing systems. CLEARXchange module provides out-of-the-box integrations with client-side order entry, account opening, and compensation systems. The platform integrates with FINRA WebEFT for U4/U5 electronic filings and NIPR for producer data synchronization. The solution supports complex hierarchy management, advanced indexing and lexicon detection, and SEC 17(a)-4 compliant electronic recordkeeping. Developer documentation is at developer.reged.com.
What industry is RegEd in?
RegEd's product category is Regulatory Compliance Software (RegTech). Its primary akta.pro industry code is FSAGAFAM, GRC, Policy Management & Controls Testing (SOX/ICFR, audit management), with a secondary code of FSAGAFAG, Regulatory Reporting & Compliance Automation (FinCEN/CTR/SAR, EMIR/MiFID, etc.). Its NAICS code is 541511 and its SIC code is 7372.