Investment Adviser Newsletters

  • Fall 2024
    New NASAA President, Renewals, IAR CE, NASAA Investment Adviser Report, DFI Examiner Joe's Perspective, Action Against Former Investment Adviser, Serving Senior Investors, Red Flag of Financial Exploitation, Investment Scam Tracker

  • ​​Spring 2024
    IAR CE, Annual Compliance Requirements, Corporate Transparency Act, Cybersecurity, Artificial Intelligence and Investment Fraud, NASAA Enforcement Report, Enforcement News
  • Fall 2023
    IAR CE, Renewals, New IA Outreach, Regulation BI Exams, Alternative Investments, Artificial Intelligence, IA Resources, Enforcement News

  • 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

  • Sprin​g 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

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Email: DFISecurities@dfi.wisconsin.gov