NASAA Continuing Education Requirements (CE)
States Adoption (as of 5/8/23 via NASAA.org)
Arkansas (1/1/2023); Colorado (1/1/2024); Kentucky (1/1/2023)
Maryland (1/1/2022); Michigan (1/1/2023); Mississippi (1/1/2022)
Oklahoma (1/1/2023); Oregon (1/1/2023); South Carolina (1/1/2023)
Vermont (1/1/2022); Washington, D.C. (1/1/2023); Wisconsin (1/1/2023)
We have an online portal of compliance resources to use with your existing technology solutions.
Deliver documents to clients, staff, prospects, and vendors via a smartphone. Desktop includes audit logs to comply with documentation requirements SEC/NASAA* Model Rule 204-2, 204-3, 204A-1, and Rule 206(4)-7 (and similar state rules). Learn More
Our collaborative network of bundled solutions from third-party vendors
Automate tasks from our calendar to more than 3000 app on Zapier or customize our app to integrate with other tech solutions. View our FIN Compliance to RedTail CRM demo on Zapier.
Our Portal As A Service (PaaS) program builds custom portals of our Compliance and Disclosure Desktop app for our FIN Lancer Financial networks, fund service providers and compliance consulting firms.
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"Almost 10 years and counting…., Cory served as our compliance consultant to assist us with our RIA mock audits and annual reviews as an independent investment advisor and affiliated registered representative. On occasion, he would visit our office or provide virtual reviews to address any gaps from our FINRA broker-dealer oversight and SEC/State provisions for investment advisors. We are very pleased with Cory’s support and work with our firm."