These IAR CE – Tracking Spreadsheets are sample investment adviser forms which are intended to assist an individual adviser representative (“IAR”) and an investment adviser firm’s chief compliance officer (“CCO”) with tracking progress and completion of continuing education (“CE”) to the extent required by the applicable state securities regulator(s).
This sample form consists of two separate Excel spreadsheets. One spreadsheet is for tracking the individual investment adviser representative and the other spreadsheet is for the CCO to track the CE progress of all of the firm’s investment adviser representatives. The spreadsheets include instructions and a tab for tracking individual courses completed by an investment adviser representative, a summary of annual CE requirements/completion and a tab summarizing an investment adviser representative’s annual carryover deficit. The spreadsheets will need to be customized to a state’s specific requirements (if different from NASAA’s model rule for IAR CE).
Included with Bronze, Silver, Gold & Platinum Packages. Initially posted in March 2021.
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NASAA Investment Adviser Representatives Continuing Education Model Rule Moves Closer to Implementation – 1/28/2021
NASAA Seeks Input on Investment Adviser Representative Continuing Education Program – 9/5/2020
NASAA Proposed Investment Adviser Representative Continuing Education Rule – 5/11/2020
Sample Form – Compliance Training/Meeting Attendance Sign-in Form
Training Materials for Investment Adviser Representatives
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This sample document should be considered a starting point, and purchaser should not treat this sample document as a final document ready for use. The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser.
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