Investment Adviser Representative Continuing Education

Beginning in 2022, investment adviser representatives of both state- and SEC-registered investment adviser firms must comply with the IAR CE requirement adopted by each state securities regulator(s) in which the IAR is registered. Mississippi is the first state to require investment adviser representatives (“IARs”) to complete 12 credit hours of accredited investment adviser representative continuing education (“IAR CE”) each year, with more states expected to adopt the requirement for 2023 and beyond.

We are excited to announce that RIA Compliance Consultants, Inc. has been approved as an IAR CE provider by Prometric, on behalf of the North American Securities Administrators Association (“NASAA”). RIA Compliance Consultants will be offering a diverse lineup of IAR CE to help investment adviser representatives meet the regulatory obligations of the state(s) where they are licensed. Our IAR CE curriculum will include courses covering both components of IAR CE: Products and Practices and Ethics and Professional Responsibility. In addition to offering IAR CE to individual IARs, investment adviser firms and Chief Compliance Officers will be able to use our continuing education platform to assign IAR CE courses and monitor IAR CE progress for the firm’s representatives.

  • Course Catalog (Coming Soon)

For more information on IAR CE requirements and state adoption, visit our IAR CE FAQ.

NASAA Disclosure: NASAA does not endorse any particular provider of CE courses. The content of any course offered by RIA Compliance Consultants, Inc. and any views expressed therein are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.