December 12, 2022. FIN Compliance is pleased to partner with Solomon Exam Prep to provide continuing education coursework to advisors, reps, and insurance personnel.
- 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)
- Michigan (1/1/2023 effective date)
- Oklahoma (1/1/2023 effective date)
- Rhode Island*
- South Carolina (1/1/2023 effective date)
- Washington, D.C. (1/1/2023 effective date)
- Wisconsin (1/1/2023 effective date)
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.
- 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 – https://FINCompliance.io