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IAR CE – Wisconsin DFI-Sec 5.06: Prohibited Conduct

Course description: In this course, we will cover Wisconsin Administrative Code section DFI-Sec 5.06 Prohibited Conduct.  We’ll discuss the need for ethics in investment advising, as well as conduct that is prohibited under DFI-Sec 5.06, the impact of prohibited conduct on investment advisers and clients, and using case examples, some of the specific situations or practices that violate this regulation.

Upon registering for this course, you will be charged a non-refundable $3 reporting fee.

After successfully passing the course assessment, this course will grant the IAR one credit of Ethics and Professional Responsibility credit.

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