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Wisconsin Administrative Code
DFI
DFI-Sec
DFI-Sec 11
Wis. Admin. Code ch. DFI-Sec 11
Investment Adviser Representative Continuing Education
Department of Financial Institutions-Securities
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11.01
Definitions.
11.02
IAR continuing education, reporting requirements.
11.03
Agent of FINRA-registered broker-dealer compliance.
11.04
Credentialing organization continuing education compliance.
11.05
IAR continuing education reporting.
11.06
No carry-forward.
11.07
Failure to complete continuing education requirements; registration status.
11.08
Unregistered periods.
11.09
Discretionary waiver.
11.10
Home state.