Webinar Registration

Common Compliance Deficiencies for Investment Adviser Representatives
(Approved for 2 IAR CE) - 08.09.2024
Boost Your Client's Ethics and Regulations outcomes and reduce out-of-pocket costs - CE Credit Available
Friday, August, 9 • ET • 120 minutes
Earn 2 CE credit Trusted by 10,000+ financial advisors
Quinn
Michelle Atlas-Quinn, J.D., AdvisorLaw

What You'll Learn

This educational program, led by compliance lawyer Michelle Atlas-Quinn, provides a comprehensive guide for understanding and addressing critical compliance issues.

The program is structured into four parts:

Understanding SEC and NASAA Examinations: This section provides an…

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Check all the boxes for the type of CE credits you require?
This question is for testing whether or not you are a human visitor and to prevent automated spam submissions.