• 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
  
  

Contact Us

Phone: (608) 266-2139

Email: DFISecurities@dfi.wisconsin.gov