Category Archives: Continuing Education

Last Call: Register Now for RIA Compliance Connection 2023

August 08, 2023

August 23 & 24, 2023 | Omaha, Nebraska & Online

The deadline to register for RIA Compliance Connection 2023 is quickly approaching. If you haven’t registered yet, now is the time to secure your spot for this exclusive compliance conference tailored for individuals affiliated with investment adviser firms.

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Kentucky Adopts IAR Continuing Education Rule, Cybersecurity Requirements

April 26, 2022

On April 18, 2022, Kentucky announced that it had adopted Senate Bill (“SB”) 298, making it the newest state to adopt an investment adviser representative continuing education (“IAR CE”) requirement, joining Mississippi, Vermont, Maryland, Michigan, and Wisconsin. Along with Michigan and Wisconsin, Kentucky’s new rule will become effective January 1, 2023. For investment adviser representatives in Mississippi, Vermont, and Maryland, an IAR CE requirement is already in effect.

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Maryland Adopts IAR Continuing Education Rule

December 27, 2021

On December 7, 2021, the Maryland Securities Division announced its new investment adviser representative continuing education requirement, joining Mississippi and Vermont to now require investment adviser representatives to complete investment adviser representative continuing education (“IAR CE”). Closely tracking the NASAA’s Model IAR CE Rule and effective for the 2022 calendar year, investment adviser representatives who are registered in Maryland must now complete twelve credit hours of IAR CE on an annual basis. Of those twelve credit hours, six must be completed in “Products and Practices” and six in “Ethics and Professional Responsibilities,” with at least three focusing specifically on ethics.

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