Wis. Admin. Code Department of Financial Institutions DFI-Sec 11.05
Current through October 28, 2024
An IAR is responsible for ensuring that an authorized provider reports the completion of the IAR's continuing education requirements described in s. DFI-Sec 11.02 to NASAA's course reporting database hosted by FINRA. The division of securities may access an IAR's continuing education status through FINRA.
Wis. Admin. Code Department of Financial Institutions DFI-Sec 11.05