IAR Continuing Education Requirements
Online Continuing Education Courses For Investment Advisers
- Why was the IAR CE Model Rule adopted?
- Who is IAR CE for?
- What are the requirements?
- State by state: Where is the IAR CE Model Rule in effect?
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IAR CE Requirements
We’re here to help you navigate the new IAR CE requirements. Get answers to our most popular FAQs below.
- Requirements
Requirements
IARs must complete training on an annual basis and earn the following credits:
- 6 credits in the area of Products and Practices
- 6 credits in the area of Ethics and Professional Responsibility
- These courses must be delivered by a CE provider approved by both NASAA and Prometric like Securities Training Corporation
An IAR registered with a FINRA member firm and compliant with FINRA's Regulatory Element CE requirements meets the six-credit Products and Practices content requirement. Essentially, these IARs only need to complete six credits of Ethics and Professional Responsibility content.
- Course Structure
Course Structure
Every IAR CE course includes a 10-question assessment. IARs must achieve a minimum score of 70% within three attempts. If unsuccessful after three attempts, they must retake the course before trying again.
- Course Repetition
Course Repetition
Each IAR CE course must have a unique course ID to receive credit. Duplicate courses, even from different years, won't count toward the requirement. If an updated course has a new ID, IARs will get credit for it. Courses with the same name or instructor but a new ID due to significant content changes are acceptable for credit.
- Reporting Fees
Reporting Fees
The course vendor/provider reports course completion to FINRA, NASSAA’s vendor for program tracking. The IAR CE course reporting fee, also sometimes referred to as the roster fee, is $3 per credit hour. This fee is paid by STC.
- Carry Over Credits
Carry Over Credits
An IAR who completes more CE credits than are required for the year may not carry forward excess credits into a subsequent year.
- Deadlines
Deadlines
Any course completed in the current year would first count towards the previous year if the IAR had a deficiency. For example, an IAR with a deficiency in 2022 completed a course in 2023. This would first count towards any deficiency in 2022.
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