Statutes, codes, and regulations
Wisconsin Administrative Code
Agency - Department of Financial InstitutionsDepartment of Financial Institutions-Securities
Chapter DFI-Sec 11 - Investment Adviser Representative Continuing Education
Section DFI-Sec 11.05 - IAR continuing education reporting

Wis. Admin. Code DFI-Sec § 11.05

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Current through May 28, 2024
Section DFI-Sec 11.05 - IAR continuing education reporting

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

Adopted by, CR 21-057: cr. Register February 2022 No. 794, eff. 1/1/2023