Important 2023 IAR CE Renewal Reminders
The NASAA Regulatory Services team is reminding all investment advisers [...]
4
12, 2023
30
11, 2023
The CE Sales Funnel: How to Use it to Your Advantage
The sales funnel. Just like its name indicates, a sales [...]
28
11, 2023
How to get my Wholesalers Approved to Offer IAR CE
Have you ever considered offering IAR CE credits at one [...]
28
11, 2023
NASAA No Longer Requiring Exam for Live IAR CE Courses
Effective August 1, 2023, NASAA no longer requires an assessment [...]
20
11, 2023
CE Council Releases Q3 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
20
11, 2023
SEC’s 2024 Exam Priorities: 6 Key Takeaways
The SEC has released its list of exam priorities for [...]
17
11, 2023
U.S. Virgin Islands to Adopt IAR CE Regulations
The U.S. Virgin Islands is the latest to adopt NASAA’s [...]
15
11, 2023
SEC Enforces Second-Highest Year for Penalties
The Securities and Exchange Commission (SEC) recently announced its Enforcement [...]
15
11, 2023
Hawaii Joins List of States Adopting IAR CE in 2024
Hawaii is the latest state to adopt NASAA’s IAR CE [...]
9
11, 2023
Quest CE Releases New Reg BI Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
