INVESTMENT ADVISER REPRESENTATIVE CE: CAPABILITIES
RegEd has been approved by Prometric as a provider of Investment Adviser Representative Continuing Education (IAR CE) courses, for registered IARs of state-registered and federally covered investment advisers subject to the NASAA model rule.
Guided Course Selection
Advisers can quickly and easily select the correct courses to complete their CE requirement.
The Industry’s Largest Course Library
The largest, most comprehensive selection of courses in the industry to meet the IAR CE requirement.
IAR CE Dashboard
Displays requirements and completions (progress meters) for each category (Ethics & Professional Responsibility and Products & Practices).
FINRA Integration
IAR CE dashboard is integrated with FINRA data to automatically display the overall completion of each requirement regardless of where the course was completed.
Designation Credit
All RegEd IAR CE courses offer Designation credit.
INVESTMENT ADVISER REPRESENTATIVE CE:
STATE ADOPTIONS
The NASAA Model Rule is not required for states to adopt, but is being adopted on a state-by-state basis. The map below highlights each state’s adoption status and their effective dates. State’s highlighted purple on the map have officially adopted.
Implemented IAR CE Requirement
Adopted, but not yet implemented
Proposed, but not yet adopted
Not Adopted or Proposed
MODEL RULE EFFECTIVE DATES
Arkansas: 1/1/2023
California: 1/1/2024 (Pending)*
Colorado: 1/1/2024
District of Columbia: 1/1/2023
Florida: 1/1/2024
Hawaii: 1/1/2024
Kentucky: 1/1/2023
Maryland: 1/1/2022
Michigan: 1/1/2023
Mississippi: 1/1/2022
Nevada: 1/1/2024
North Dakota: 1/1/2024
Oklahoma: 1/1/2023
Oregon: 1/1/2023
South Carolina: 1/1/2023
Tennessee: 1/1/2024
U.S. Virgin Islands: 1/1/2025
Vermont: 1/1/2022
Wisconsin: 1/1/2023
*Although not yet finalized, California has advised they will require IAR CE be satisfied in 2024. Therefore, California registered IARs can begin taking RegEd’s IAR CE courses pending finalization of the state’s order.
INVESTMENT ADVISER REPRESENTATIVE CE:
RELATED RESOURCES
Content covering the latest news and best practices for education and training, from industry and RegEd subject matter experts.
WEBINAR: New Developments Related to Mandated Industry Training
This webinar provides an update on the current training and continuing education landscape impacting the training programs of insurers, broker-dealers and investment advisers.
NEWS: RegEd Approved as Investment Adviser Representative Continuing Education (IAR CE) Provider
RegEd has been approved to offer Investment Adviser Representative Continuing Education (IAR CE) courses for registered IARs subject to the North American Securities Administrators Association’s Investment Adviser Representative Continuing Education Model Rule.
WEBINAR: State-Mandated Training Developments and State Pandemic Relief Updates
Brandi Brown, SVP of Regulatory Affairs at RegEd, shares insight into the state-mandated training developments and state pandemic relief updates.
BLOG: NASAA Investment Adviser Report Highlights New Model Rules for CE and Policies and Procedures
The North American Securities Administrators Association (NASAA) recently released its annual report on the state-registered investment adviser industry and the related regulatory activities of state securities regulators.
RegEd has been approved by Prometric as a provider of Investment Adviser Representative Continuing Education (IAR CE) courses, for registered IARs of state-registered and federally covered investment advisers subject to the NASAA model rule.
INVESTMENT ADVISER REPRESENTATIVE CE:
RELATED SOLUTIONS
Complementary solutions to power your compliance and credentialing program – all on a unified enterprise platform.
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ANNUAL COMPLIANCE MEETING ON-DEMAND
RegEd’s Annual Compliance Meeting On-Demand (ACMOD) solution is designed to meet FINRA requirements and offers a variety of topics that can be combined to create a compelling, relevant and compliant Annual Compliance Meeting.
ANNUITIES TRAINING OVERVIEW
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FIRM ELEMENT TRAINING
RegEd is the leading provider of Firm Element training, delivering more than one million CE courses and insurance certificates on an annual basis.
CONTACT US
Schedule a personalized consultation with our solution and subject matter experts. We’ll provide an overview of how RegEd’s enterprise platform enables our clients to improve efficiency, effectiveness and transparency across the enterprise.
