Certain requirements must be met to become a Content Provider. Interested organizations must:
- Have experience delivering educational content, professional services or compliance services in the securities industry;
- Be knowledgeable about investment adviser regulation, especially NASAA Model Rules and state licensure and ongoing compliance requirements applicable to investment adviser representatives;
- Be able to provide and assess educational content to enrollees in a Course and provide IAR CE Program support services (including authenticating an enrollee’s identity, assisting enrollees with enrollment, verifying attendance, reporting Course completions, and retaining enrollment records); and
- Have no disciplinary sanctions and otherwise be in good standing professionally.
If you/your organization are already an approved Content Provider, an AMS account has already been created, and the primary contact should have received instructions for logging in to the AMS. If you are an existing provider and need assistance with your AMS account, please email NASAA’s IAR CE Team at IARCE.providers@nasaa.org.
If you/your organization are interested in becoming approved as a Content Provider, you can apply through the following steps. There is no fee to apply.
- Complete the IAR CE Content Provider Interest Form expressing your general interest and qualifications to be a Content Provider.
- NASAA will review the submission and assuming the basic qualifications are met, NASAA will set up a user account for the IAR CE AMS and send login instructions to the email address provided.
- After setting up the AMS account and logging in, the Provider Application can be completed and submitted through the AMS.
- NASAA will review and the application will proceed through the various stages below.
Provider Application Statuses
- Draft. A draft application has been opened in the IAR CE AMS. Application content is only visible to the submitting organization. If the application is not submitted within 180 days from the start of the draft, the application will be automatically removed from the system.
- Submitted. The application has been submitted. Edits cannot be made to the application while in a Submitted status.
- Under Review. NASAA has started reviewing the application. Edits cannot be made to the application while in an Under Review status.
- Awaiting Provider Updates. NASAA has determined that more information or documentation is necessary and has requested updates from the submitting organization. The application can be updated to provide the requested information and resubmitted when finished.
- Approved. The application is approved. Edits cannot be made to an application while in an Approved status.
- Provisionally Approved. The application is provisionally approved, but NASAA has requested additional information or documentation. Edits cannot be made to an application while in a Provisionally Approved status.
- Denied. The application is denied. Edits cannot be made to the application. For further consideration, a new application must be submitted.
- Retired. The Content Provider is retired. The Content Provider may request reactivation by emailing NASAA at IARCE.providers@nasaa.org. Edits cannot be made to an application in a Retired status.
