Wis. Admin. Code Department of Financial Institutions 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.
Notes
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