IAR CE Compliance Is Mandatory. Are Your Advisers Ready?

Your RIA’s compliance program demands precision. But when it comes to Investment Adviser Representative (IAR) Continuing Education, even one missed credit can have real consequences, including “CE Inactive” status or loss of registration. 

The NASAA IAR CE Model Rule now applies in more than 20 jurisdictions. Each IAR must complete 12 hours of CE annually, six in ethics and six in products and practice. Or they risk termination. 

This guide explains what’s required, who must comply, and how firms can simplify oversight. 

You’ll Learn: 

• Which states have adopted IAR CE requirements 

• What the NASAA IAR CE Model Rule entails 

• How to track and report CE credits through FINRA’s FinPro system 

• What happens if an IAR misses or exceeds their credit requirement 

• How Comply makes annual tracking and documentation simple 

Stay compliant. Stay registered.