ACS' Compliance Cast
Short informational piece on a specific securities compliance topic
ACS' Compliance Cast
Investment Adviser Representative Continuing Education
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Lori
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Scott discusses Investment Adviser Representative Continuing Education Requirements including a rundown of states that have adopted of the rule (as of May 2023), the requirements of the Model Rule that the states are either adopting or working from, how to track your CE through FinPro, and how to get a FinPro account.