Investment Adviser Representative Continuing Education
Welcome to the resource page for NASAA’s Investment Adviser Representative Continuing Education (IAR CE) program. NASAA’s IAR CE model rule represents the culmination of years of work by state securities regulators and industry to develop a relevant and responsive continuing education program. Below you will find information on member adoption, approved IAR CE providers, informative FAQs, and more.
IAR CE MODEL RULE
The North American Securities Administrators Association (NASAA) announced on November 30, 2020 that its membership voted to adopt a model rule to set parameters by which NASAA members could implement continuing education programs for investment adviser representatives in their jurisdictions. The model rule has a products and practices component and an ethics component and is intended to be compatible with other continuing education programs. The model rule is available here.
The model rule represents the culmination of years of work by state securities regulators and industry to develop a relevant and responsive continuing education program. This successful collaboration will help promote heightened regulatory compliance while also helping investment adviser representatives better serve their clients by remaining knowledgeable of current regulatory requirements and best practices.
NASAA’s IAR CE Committee has been informed the following jurisdictions are planning to implement an IAR CE requirement for 2022. Please note, this information will be updated as new information becomes available.
IAR CONTINUING EDUCATION FAQ
Click below for answers to frequently asked questions about the Investment Adviser Representative Continuing Education initiative.
The IAR CE Program Handbook was developed by NASAA’s Investment Adviser Representative Continuing Education Committee and Prometric, a global leader in test development, testing delivery, and candidate services. Prometric serves as the course management vendor for the IAR CE program. The handbook was developed to help potential providers better understand and meet the requirements for acceptable IAR CE course material.
During the first four months of 2021, Prometric and NASAA worked to standardize the criteria under which potential IAR CE content providers, instructors and individual CE courses will be approved. The CE program criteria, requirements and application material can be found in the handbook.
IAR CE WEBCASTS AND TRAININGS
NASAA is pleased to provide webcasts and trainings as part of the Investment Adviser Representative Continuing Education initiative.
- Investment Advisor Representative Continuing Education webcast, recorded November 4, 2021
- Applying FINRA’s Regulatory Element CE to IAR CE webcast, recorded July 21, 2022