Meet Your IAR CE Requirements
Complete NASAA’s new investment adviser CE model rule requirements with our top-of-the-line training courses.
➤ B.E.S.T. IAR Courses
Browse our online CE course catalog to select from various course topics that will assist you in fulfilling your IAR CE credit requirements. Upon completion, we will report your credit hour(s) to FINRA within two (2) business days.
Disclaimer: “NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.”
➤ IAR CE Requirement FAQs
New requirements can be complicated to understand, but we are here to help. Below are a few common FAQs: (Click on a FAQ’s question to view its answer.)
Question #1: Will I be required to complete IAR CE?
Answer: If you are a registered investment adviser representative (IAR) in a jurisdiction that adopts the model rule you will be subject to
its CE requirements. IARs will be required to meet the CE requirements of any state in which the IAR is registered.
Question #2: How many CE hours will be required?
Answer: 12 hours of CE annually:
- 6 hours in Ethics and Professional Responsibility
- 3 hours must be dedicated specifically to ethics
- 6 hours in Products and Practices
Question #3: Will an IAR receive reciprocity in other states if the IAR meets the CE requirements of his or her home state?
Answer: An IAR registered in another state who is also registered as an IAR in his or her home state is considered to be in compliance
if the home state has CE requirements that are at least as stringent as the model rule and the IAR is in compliance with the home
state’s IAR CE requirements.
Question #4: What happens if an IAR does not complete the CE requirements in a timely manner?
Answer: If an IAR does not complete the CE requirement by the annual deadline, his or her IAR registration status will be set to “CE
Inactive,” which is the status that will then appear in the Investment Adviser Public Disclosure (IAPD) and in BrokerCheck. The
IAR will remain “CE Inactive” until he or she either becomes compliant or action is taken by the state.
