The Division Announces 2024 Investment Adviser Examination Priorities
The Division's 2024 investment adviser examination priorities are available for review. This year, staff are highlighting the importance of firms to capture and maintain, in writing, client suitability information and key clarifications and changes set out in the new rules adopted by the Commissioner that became effective in March 2023.
The Division reminds all firms that they are required to maintain books and records, and upon request of the Division staff, are expected to produce them in a timely manner for review. View the 2024 priorities.
Investment Adviser Representative Continuing Education Webinars
The Division is hosting interactive webinars to discuss the new IAR continuing education requirements that went into effect on Jan. 1, 2024. Attendees can ask questions to the staff in real time. There are three opportunities to participate.
Register here to attend the February 7 session from 1-2 p.m. MT.
Save the date for the other sessions on:
Learn more and access a FAQ list here.
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