Resource Library
- Importance of Establishing a Trusted Contact
- Policy Statement - Custody and Standing Letters of Authorization
- New Rule Requiring Investment Adviser Representative (IAR) Continuing Education (CE) [pdf]
- Investment Adviser Representative (IAR) Continuing Education (CE) – FAQs [pd]
- Investment Adviser Representative (IAR) Continuing Education (CE): Quick Reference to Financial Professional Gateway (FinPro) [pdf]
Compliance Examinations:
- Business Continuity Article
- Compliance For Hire Article
- 2023 Coordinated Examinations Exam Findings and Best Practices
- Record Keeping Preparation for a Compliance Exam Article
- IA Compliance: Common Exam Deficiencies In 2023
- IA Compliance: Disclosing Outside Business Activities
- IA Compliance: Documenting Suitability