RIA Compliance Consultants, Inc. is an approved provider of investment adviser representative continuing education (“IAR CE”).
iNew Courses will be added throughout 2022, subject to approval by Prometric.
iiPrometric is the course management vendor selected by NASAA. Approval by Prometric means that a course meets NASAA’s minimum course requirements and is eligible for IAR CE credit. It does not indicate endorsement by Prometric, NASAA, or any particular securities regulator.
iiiSubject to successful completion by course participant.
Although many other financial industry professionals have been required to complete continuing education for years, prior to 2022 there was no requirement that investment adviser representatives complete annual continuing education to maintain their registration status. As of January 1, 2022, three states have adopted NASAA’s IAR CE model rule – Maryland, Mississippi, and Vermont – with more states expected to adopt the requirement for 2023 and beyond. Investment adviser representatives in jurisdictions that have adopted the IAR CE model rule must complete six hours of Products and Practices and six hours of Ethics and Professional Responsibility each calendar year (with three credit hours specifically covering ethics).
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.