FIN Compliance Newest Continuing Education partner - Solomon Exam Prep


December 12, 2022.  FIN Compliance is pleased to partner with Solomon Exam Prep to provide continuing education coursework to advisors, reps, and insurance personnel.  


  • Designations 
  • IAR Continuing Education*
  • FINRA/NASAA Series Exams
  • Insurance Continuing Education

*IAR CE Member Adoption (as of 12/12/22):

  • Arkansas (1/1/2023 effective date)
  • Kentucky (1/1/2023 effective date)
  • Maryland
  • Michigan (1/1/2023 effective date)
  • Mississippi
  • Nevada*
  • Oklahoma (1/1/2023 effective date)
  • Rhode Island*
  • South Carolina (1/1/2023 effective date)
  • Vermont
  • Washington, D.C. (1/1/2023 effective date)
  • Wisconsin (1/1/2023 effective date)

About Us: 

FIN Compliance is a consortium of compliance consulting and continuity management solutions designed to help boutique investment advisors to structure, maintain, and develop their internal regulatory review, disclosure, and training programs.   

Our Service/Specialties:

  • Compliance Consulting/Technology         
  • Marketing/Tech support.
  • Calendar/Zapier Integrations

Third Party/Partner Offers:

  • Cybersecurity/Due Diligence software
  • Continuing Education (NASAA, Fiduciary, Insurance, Designations)
  • Compliance Controls (Archiving, DOL Software, Trade Monitoring)

Contact us for more information –  

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