Investment Adviser Newsletters

  • 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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