This WSP/CoE Section – IAR CE is a sample investment adviser compliance manual section related to the investment adviser representative continuing education (“IAR CE”) requirements of certain state securities regulators.
To the extent that a state or SEC registered investment adviser firm has an investment adviser representative located in a state that has adopted NASAA’s investment adviser representative continuing education (“IAR CE”) rule, the investment adviser firm will need to track whether the applicable IARs are meeting such requirements each year. This is an example of a procedure for tracking such requirements.
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