Chapter DFI-Sec 11 - Investment Adviser Representative Continuing Education
- Section DFI-Sec 11.01 - Definitions
- Section DFI-Sec 11.02 - IAR continuing education, reporting requirements
- Section DFI-Sec 11.03 - Agent of FINRA-registered broker-dealer compliance
- Section DFI-Sec 11.04 - Credentialing organization continuing education compliance
- Section DFI-Sec 11.05 - IAR continuing education reporting
- Section DFI-Sec 11.06 - No carry-forward
- Section DFI-Sec 11.07 - Failure to complete continuing education requirements; registration status
- Section DFI-Sec 11.08 - Unregistered periods
- Section DFI-Sec 11.09 - Discretionary waiver
- Section DFI-Sec 11.10 - Home state