Investment Adviser Representatives Continuing Education
NASAA has announced a new model rule that represents the culmination of years of work by state securities regulators to develop a relevant and responsive CE program.
IARs will need to attain 12 CE credits each year to maintain their IAR registration. This includes 6 credits of Products and Practices and 6 credits of Ethics and Professional Responsibility. 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. These individuals are only required to complete 6 hours of Ethics and Professional Responsibility training annually. FINRA will not allow any duplicated courses to count toward the IAR CE requirement, even if completed in another year.
Depending on your status, choose from one of our IAR CE packages below. Once completed, STC will automatically report your CE certification to FINRA.
Exam Details: 1 Hour Each Module │ 10 Question Exam │ 70% Passing Score Required
IAR Exam Prep Packages
Ethics & Professional Responsibility 6 Hour IAR CE Bundle
Why this package?
- You are Dually Registered
- You are in Compliance with Regulatory Element CE
- You need 6-Hours of Ethics Training
What's Included:
Mandatory CE Assessment
Certificate of Completion
6 One-Hour Online Courses
Free Course Updates
24/7 Tech Support
Automatic completion report to FINRA
FREE CPE Credits
Products & Practices 6 Hour IAR CE Bundle
Why this package?
- You Are Not Dually Registered
- You Are Not Subject to Regulatory Element
- You Have Previously Completed Your 6-Hours of Ethics Training
What's Included:
Mandatory CE Assessment
Certificate of Completion
6 One-Hour Online Courses
Free Course Updates
24/7 Tech Support
STC will automatically report your CE completion to FINRA
12 Hour Combined IAR CE Bundle
Why this package?
- You Are Not Dually Registered
- You Are Not Subject to Regulatory Element
- You Are Required to Complete all 12 Credits
Purchase IAR Courses Individually
If you prefer to purchase a course individually, please select from the options below.
Refine Results
Credit type
CFP
Application of Regulation Best Interest (Reg BI) (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
ESG Disclosure Requirements (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Ethical Concerns in a Rising Interest Rate Market (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Ethical Considerations for Dually Registered Personnel (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Examining the SEC’s Marketing Rule (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Investment Advisers and Their Code of Ethics (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Ethics & Professional Responsibility 6 Hour IAR CE Bundle
Ethics & Professional Responsibility 6 Hour IAR CE Bundle
Alternative Investments (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Digital Assets (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Exchange-Traded Funds (ETFs) (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Municipal Bond Basics (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Retirement Plans 2.0 (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Variable Annuities 2.0 (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Products & Practices 6 Hour IAR CE Bundle
Products & Practices 6 Hour IAR CE Bundle
Alternative Investments (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Application of Regulation Best Interest (Reg BI) (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Digital Assets (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
ESG Disclosure Requirements (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Ethical Concerns in a Rising Interest Rate Market (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Ethical Considerations for Dually Registered Personnel (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Examining the SEC’s Marketing Rule (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Exchange-Traded Funds (ETFs) (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Investment Advisers and Their Code of Ethics (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Description:
Municipal Bond Basics (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Retirement Plans 2.0 (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
Variable Annuities 2.0 (IAR CE)
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
12 Hour Combined IAR CE Bundle
12 Hour Combined IAR CE Bundle