Approved IAR CE Courses

This course is intended for investment adviser representatives, and provides an overview of the Wisconsin Division of Securities Administrative Code section 5.06 "Prohibited Conduct." Section 5.06 addresses dishonest or unethical business practices of investment advisers in Wisconsin, and contains 25 subsections. This course will review in detail each of these subsections, explain their purpose, and give examples of past enforcement actions taken by the Division against investment advisers who violated the rule.

This course covers business management for the state-registered investment adviser. It is divided into four sections and discusses business filings and records, compliance and registration functions supporting the business, business management and operations, and a summary of the resources available to investment advisers.

This course is intended for investment adviser representatives, and provides an in-depth review of financial exploitation of senior adults and how investment advisers can identify and prevent it. It includes five sections that focus on defining financial exploitation, risk factors of seniors, perpetrators of financial exploitation, identifying and responding to suspected exploitation, and suggested business practices for preventing financial exploitation.

This course discusses the three sections under Ch. DFI-Sec 5 for the state-registered investment adviser. Section DFI-Sec 5.03 covers recordkeeping requirements, including client suitability documentation. Section DFI-Sec 5.04 covers reporting requirements. Section DFI-Sec 5.05 covers contract and practice rules, including requirements for client contracts.

This course provides an overview of the procedures and objectives of a Wisconsin Division of Securities examination of a state-registered investment adviser. It also reviews common deficiencies found by the Division and how advisers can take steps to prevent them.