WSP/CoE Section Update – IAR CE

$250.00

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.

Included with Bronze, Silver, Gold, Platinum & Titanium Packages.

Description

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.

Included with Bronze, Silver, Gold, Platinum & Titanium Packages. Initially posted in May 2022.

Delivery and Engagement

Before submitting the online payment for this service you will be prompted to execute an electronic contract. (If you would like to view or execute this electronic engagement now, please click here). Once we have received your executed agreement along with your online payment, we will email you instructions on how to provide RIA Compliance Consultants with user access to your IARD/Web CRD Account. This will allow us to prepare and submit documents on your behalf.

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