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Registration of Professionals

Investment Adviser Newsletters

  • Adobe PDF Document Spring 2021
    SPACs, GPB Capital Holdings, ADV/U4 Updates, IA Branches, IAR CE, Regulatory Alerts, NASAA Legislative Agenda, Enforcement News
  • Adobe PDF Document Fall 2020
    Remote Work, Mark Eisenmann, Form CRS, Cybersecurity, COVID-19 Enforcement, Financial Professional Diminished Capacity, Alternative Investment Risk, PPP Loans
  • Adobe PDF Document Spring 2020
    COVID-19, Business Continuity, 2019 Exam Deficiencies, Document Retention, Variable Annuities, Reg BI, Continuing Education for IA Reps, NASAA Resources
  • Adobe PDF Document Fall 2019
    Renewal Season, NASAA IA Coordinated Exam Report, Form U4, Talking With Regulators, Identity Theft Presented By Frank Abagnale, Mark Eisenmann Retires
  • Adobe PDF Document Spring 2019
    DFI's New Secretary, Suitability Documentation, Signs of Dementia, Leveraged/Inverse ETFs, Financial Literacy, Cybersecurity Best Practices
  • Adobe PDF Document Fall 2018
    Registration Renewal, Elder Abuse Task Force, Senior Safe Training, NASAA Cybersecurity Model Rule and Roundtable, FINRA Qualification Exams, SEC Reg BI Proposal
  • Adobe PDF Document 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
  • Adobe PDF Document Fall 2017
    Renewal Season, Cybersecurity Checklist, Checking Out Potential Hires, DOL Impartial Conduct Standard, SEC Form ADV Amendments, Equifax Data Breach
  • Adobe PDF Document Spring 2017
    Business Continuity/Succession Planning, Pension Streams, WI Statutes, Form U4, Clients' Cybersecurity, Dementia Friendly Businesses
  • Adobe PDF Document Fall 2016
    Client Passwords/Fraud Protection, Conflicts of Interest, DOL Rule, Resources to Serve Senior Investors
  • Adobe PDF Document Spring 2016
    Patricia Struck, Data Breach Notification, Wire Fraud, Seniors Model Act, Form U4
  • Adobe PDF Document Fall 2015
    Renewal Season, OBAs, E&O Insurance, Exam Deficiencies, Cybersecurity Exam Questions
  • Adobe PDF Document Special Edition 2015
    Common Investment Adviser Deficiencies Reported by NASAA
  • Adobe PDF Document Spring 2015
    Cybersecurity, Custody, Email, Fiduciary Duty, ADV Updates, more...
  • Adobe PDF Document Fall 2014
    Renewal Season, NASAA Announces IARD System Fee Waiver, Cybersecurity Best Practices, more...
  • Adobe PDF Document Spring 2014
    ADV Updates, Contingency and Succession Business Planning, Advertising Basics, Crowdfunding, Privacy
  • Adobe PDF Document Fall 2013
    Renewal Season, Avoiding Common Deficiencies in ADV Part 2, Documenting Your Client's Risk Tolerance, Reg D
  • Adobe PDF Document Spring 2013
    Profitable Sunrise, DFI Facebook page, Annual Amendment to Form ADV, Completing the ADV Re: Custody
  • Adobe PDF Document Fall 2012
    Division of Securities Moving to New Location, Investment Adviser Switch, IARD System Fee Waiver, Social Media Tip

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