Investment adviser representatives (IARs) are required to meet Investment Adviser Representative Continuing Education (IAR CE) requirements annually if registered in a state that has adopted the North American Securities Administrators Association (NASAA)’s Investment Adviser Representative Continuing Education Model Rule.
There are currently eleven (11) states that have adopted and implemented the IAR CE requirement. An additional four (4) states have adopted the IAR CE model rule with an implementation date of Jan. 1, 2024, among them is the state of Florida. More states, including California, are expected to adopt IAR CE requirements this year. With the possible addition of California, half of the investment adviser representatives in the United States will be under the requirement.
IARs registered in the following states will be required to satisfy IAR CE by year-end 2024:
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. With RegEd, you can quickly register and begin to satisfy annual compliance and training requirements. In addition, simple integration with a firm’s Firm Element program allows an IAR to earn dual credits. Click here to get started!
Learn more about how you can fulfill requirements of NASAA’s IAR CE Model Rule with RegEd courses.
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients. For more information, please visit www.reged.com.