Spring 2023
DFI's New Website, IAR CE, Exam Deficiencies, Successful Exams, Customer Complaints, Business Continuity and Succession, Enforcement News
Fall 2022
Renewals, IAR CE, Single Stock ETFs, Crypto Scams, Finfluencers, Metaverse, Seniors, Trusted Contacts
Spring 2022
IAR CE Rule, Precious Metals, Investor Threats, BlockFi Settlement, Sub-Advisers, Investor Education Website, Exam Issues
Fall 2021
Digital Assets, Renewals, Exam Deficiencies, Fee Disclosures, Financial Exploitation, Trusted Contact Forms, IAR CE
Spring 2021
SPACs, GPB Capital Holdings, ADV/U4 Updates, IA Branches, IAR CE, Regulatory Alerts, NASAA Legislative Agenda, Enforcement News
Fall 2020
Remote Work, Mark Eisenmann, Form CRS, Cybersecurity, COVID-19 Enforcement, Financial Professional Diminished Capacity, Alternative Investment Risk, PPP Loans
Spring 2020
COVID-19, Business Continuity, 2019 Exam Deficiencies, Document Retention, Variable Annuities, Reg BI, Continuing Education for IA Reps, NASAA Resources
Fall 2019
Renewal Season, NASAA IA Coordinated Exam Report, Form U4, Talking With Regulators, Identity Theft Presented By Frank Abagnale, Mark Eisenmann Retires
Spring 2019
DFI's New Secretary, Suitability Documentation, Signs of Dementia, Leveraged/Inverse ETFs, Financial Literacy, Cybersecurity Best Practices
Fall 2018
Registration Renewal, Elder Abuse Task Force, Senior Safe Training, NASAA Cybersecurity Model Rule and Roundtable, FINRA Qualification Exams, SEC Reg BI Proposal
Spring 2018
DFI Office Move, SEC Outreach, AARP Tool to Select an Advisor, Investor Threats, Form ADV Amendment FAQs, Financial Exploitation of Seniors Rule, Unethical Use of Client Password
Contact Us
Phone: (608) 266-2139
Email: DFISecurities@dfi.wisconsin.gov