Tag Archives: Training

CCO Basic Training

December 22, 2022

RIA Compliance Consultants, Inc. is hosting a webinar, CCO Basic Training, at 12:00 p.m. U.S. Central on Thursday, February 2, 2023.

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NASAA Publishes Handbook for Prospective IAR CE Content Providers

May 14, 2021

The North American Securities Administrators Association (“NASAA”) recently published a new handbook to guide investment adviser firms and other professionals that are interested in becoming content providers under NASAA’s Model Rule on Investment Adviser Representative Continuing Education (“Model Rule”). The handbook is the most recent resource published by NASAA as it works to implement the compliance and logistical framework needed to facilitate the Model Rule. To view NASAA’s Investment Adviser Representative Continuing Education Program Handbook, click here.

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