This 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.
Investment Adviser Representative (“IAR”) Continuing Education – FAQs
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
This sample document is merely an example for general reference and educational purposes. RIA Compliance Consultants, Inc. is providing this sample document to the purchaser on an “as is” basis with no warranty or guaranty whatsoever.
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.
This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online store as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.
This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.
Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued. RIA Compliance Consultants, Inc. will not be providing any subsequent updates of this sample documents to the purchaser. Likewise, RIA Compliance Consultants, Inc. will not be monitoring and reporting to the purchaser any issues related to the use of this sample document.
Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser or review any applicable rules before using this document.
This sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely purchasing or utilizing a sample form. Additionally, the purchaser understand that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment adviser laws and rules.
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