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.

Firm Element Integration

Simple integration with a firm’s Firm Element program allows an IAR to earn dual credits.

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 will implement January 1st, 2023 (Effective Date)

Proposed, but not yet adopted

Not Adopted or Proposed

MODEL RULE EFFECTIVE DATES

Maryland: 1/1/2022
Mississippi: 1/1/2022
Vermont: 1/1/2022
Wisconsin: 1/1/2023
Oklahoma: 1/1/2023
Michigan: 1/1/2023
Kentucky: 1/1/2023
District of Columbia: 1/1/2023
Arkansas: 1/1/2023
South Carolina: 1/1/2023

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.

ANTI-MONEY LAUNDERING TRAINING

RegEd’s Anti-Money Laundering (AML) Program enables producers to fulfill AML training requirements and then share those results with all participating carriers.

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

RegEd’s Annuities Training Platform (ATP) is the industry-wide solution that enables producers to complete the required state suitability and carrier-specific product training on one shared platform.

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.

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