IAR CE – Tracking Spreadsheets

$100.00

This IAR CE – Tracking Spreadsheets are sample investment adviser forms which are intended to assist an individual adviser representative and an investment adviser firm’s CCO with tracking progress and completion of continuing education to the extent required by the applicable state securities regulator(s).

Included with Bronze, Silver, Gold & Platinum Packages.

Description

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.

Related Resources

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

Disclosures

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.

Purchaser is not authorized to re-sell this sample document nor license the use of this sample document to a third-party.

Delivery

Before this product can be purchased, the purchaser will be directed to electronically sign a terms and use agreement.  After signing that agreement, the purchaser will be redirected to the purchaser’s shopping cart to complete the purchase transaction.

If this product involves the purchase of a sample document on a la cart basis (not part of an annual compliance program subscription), the purchaser will be able to download immediately this sample document from our online store’s website after the purchase transaction is completed. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.

If you experience any issues when making the purchase, please email delivery@ria-compliance-consultants.com

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