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Knowing the IAR CE Requirements

Understanding new requirements can be complicated, we're here to help.
Here are a few common FAQs.

Who is required to complete CE?

All state and federal covered registered IARs will be required to meet the CE requirements of any state in which the IAR is registered that has adopted the model rule.

How many hours are required?

12 total hours will be required with 6 hours in Ethics & Professional Responsibility (3 specific to ethics) and 6 hours in Products & Practice.

When are completions due?

CE will be due on an annual basis. If CE is not complete in time, their status will be set to "CE Inactive" and the IAR will be unable to renew their registration.

What are the reciprocity rules?

If the IAR's home state has CE requirements at least as stringent as the model rule and the IAR is in compliance with the home state’s IAR CE requirements they will be compliant.

The Regulatory Element may qualify for six hours of Products and Practices IAR CE. Dually registered individuals who have completed the Regulatory Element should contact their compliance department or FINRA to submit their request and pay the required fee for to meet this requirement.

NASAA Model Regulation State Adoptions

The NASAA Model Rule (Model Rule 2002-411(h) or 1956-204(b)(6)-CE) is being adopted on a state-by-state basis, but states are not required to adopt. However, if your state does not adopt the model rule, you still may be subject to completing CE credits for states where you are registered that have adopted the model rule to stay in compliance.

The map below shows each state's adoption status of the model rule.

Map of states adopting IAR NASAA Model Rule

Map last reviewed & updated February 2023.

MODEL RULE EFFECTIVE DATES
Arkansas	1/1/2023	Oklahoma	1/1/2023
Colorado	1/1/2024	Oregon	1/1/2023
Kentucky	1/1/2023	South Carolina	1/1/2023
Maryland	1/1/2022	Vermont	1/1/2022
Michigan	1/1/2023	Wisconsin	1/1/2023
Mississippi	1/1/2022	Washington, D.C.	1/1/2023

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