Stay Compliant and complete your mandatory Investment Advisor Representative Continuing Education with STC.

Securities Training Corporation has trained 1.5 million experts in the financial industry since 1969 and is an approved provider of Investment Adviser Representative Continuing Education (IAR CE).

Investment Advisor Representative CE Requirements

Course Completion

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

Agents of FINRA-Registered Broker-Dealers

An IAR who is also registered as an agent of a FINRA member firm and complies with FINRA’s CE requirement may be considered in compliance with the Products and Practices component if the content meets specific criteria. These individuals are only required to complete six hours of Ethics & Professional Responsibility training annually.

To meet NASAA’s requirements follow these easy steps:
Step 1: Determine the number of credits that you need.

Step 2: Click here and enroll in the proper IAR CE course.

Step 3: Complete the required courses and earn your credits.

Step 4: STC will report your completion to FINRA.

Step 5: After completing your courses you may download and or print your certificate of completion.

Learn more about NASAAs IAR Continuing Education requirements here.