Compliance University
IAR Continuing Education
Select States have implemented a Continuing Education requirement for individuals registered as an Investment Advisor Representative in that state. IAR CE credits must be earned and reported by the end of each calendar year (your course provider will report the credits on your behalf to the state securities agencies). This is separate and distinct from other Continuing Education you complete for Insurance and Securities.
IARs need to attain 12 CE credits each year (by 12/31) to maintain their IAR registration. A “credit” is a unit that has been designated by NASAA to be at least 50 minutes of educational instruction. The 12 credits must include 6 credits for Products and Practices and 6 credits for Ethics and Professional Responsibility. Please note, the credits must be split this way.
Opportunity to double-dip CE - Find Dual-Approved Courses:
For those insurance licensed, check with CE providers who cater to both insurance and investment adviser audiences (e.g., Kaplan Financial Education, Quest CE, or RegEd). They often design courses eligible for multiple designations, including Ethics. Verify approval by state department of insurance and for IAR confirm that it’s NASAA-approved and reported via FINRA’s FinPro system.
Additional Resources
Providers that have been approved by Prometric, on behalf of NASAA, to offer IAR CE courses
Information about member adoption, approved IAR CE providers, informative FAQs, and more