Online Investment Adviser Continuing Education

ONLINE CONTINUING EDUCATION COURSES FOR INVESTMENT ADVISERS 

When someone struggles to manage their investment portfolio or need help getting started they turn to an investment adviser. Investment advisers are trusted to manage and recommend investments and strategies for their clients. Trusted advisers who need to stay up-to-date on industry trends and comply with continuing education regulations turn to WebCE. 

WebCE is on top of all the latest developments and state adoptions of the NASAA IAR CE Model Rule requiring investment advisers to complete continuing education courses. WebCE offers the most complete catalog of IAR CE courses providing comprehensive training on industry rules, guidance, updates and changes. Firms can take advantage of corporate education solutions which may include discounted rates, customized content, and offerings to include other course credit like Firm Element, Annual Compliance Questionnaires, Annual Compliance Meetings, AML training, and insurance and professional designation credit.



Course Catalog   Corporate Solutions  NASAA Model Rule State Adoptions

investment advisers looking at reports

Knowing the IAR CE Requirements

We know understanding new requirements can be complicated. We're here to help. Here are a few common FAQs.


If you are a registered investment adviser representative (IAR) in a jurisdiction that adopts the model rule you will be subject to its CE requirements. IARs will be required to meet the CE requirements of any state in which the IAR is registered.
12 hours of continuing education annually
  •  6 hours in Ethics and Professional Responsibility
  •  3 hours must be dedicated specifically to ethics
  • 6 hours in Products and Practices
An IAR registered in another state who is also registered as an IAR in his or her home state is considered to be in compliance if the home state has CE requirements that are at least as stringent as the model rule and the IAR is in compliance with the home state’s IAR CE requirements.

If an IAR does not complete the CE requirement by the annual deadline, his or her IAR registration status will be set to “CE Inactive,” which is the status that will then appear in the Investment Adviser Public Disclosure (IAPD) and in BrokerCheck. The IAR will remain “CE Inactive” until he or she either becomes compliant or action is taken by the state.

The Regulatory Element may qualify for six hours of Products and Practices IAR CE. Individuals who have completed the Regulatory Element in 2020, 2021 or 2022 should contact their compliance department or FINRA to submit their request and pay the required fee for to meet this requirement.

CORPORATE IAR CE SOLUTIONS & CUSTOM PROGRAMS

Your company is unique, and your company training and corporate education programs should be too. At WebCE, we develop custom corporate education solutions uniquely designed to meet your company's needs, including the new CE requirements for Investment Advisers.


To enhance your company's IAR CE program, WebCE also offers completely up-to-date education courses for a variety of license types and designations including courses for insurance agents and producers, financial planners, CPAs, tax preparers, Enrolled Agents, and more. Thousands of companies make our professional education courses available to their employees through discount programs, voucher programs, or invoiced programs. With our online learning portals, your company's management will also have access to real-time reports, online invitations, renewal reminders, and more.

 

Learn More About WebCE Corporate Programs

 

IAR CE CATALOG NOW AVAILABLE 

WebCE has obtained NASAA approval to be a content provider of IAR CE courses and we plan to launch a comprehensive course catalog to cover all of the requirements including Ethics and Professional Responsibility and Practice and Products. All our courses will cover up-to-date information written by industry experts. 

Here's the topics our course catalog will cover. 

Ethics and Professional Responsibility

Ethics and Professional Responsibility guidelines are essential to all Investment Adviser Representatives (IAR). Using case studies and real-life examples our courses ensure all IARs are aware of the rules and regulations dictating their responsibilities to their firm and clients.

Serving Seniors

As the population ages, more and more financial professionals will need to understand the many facets involved with senior clients. Through our courses representatives will learn how to communicate effectively, how to recognize elder abuse, and how to serve senior clients effectively and ethically.

Cybersecurity

Cybersecurity threats are very real and very serious. The consequences of data security breaches can be costly and devastating for both consumers and financial institutions. Representatives will learn more about the common types of cyber risks and the steps to take protect client information, and the business, from cybercriminals and unintended data disclosure.

Product Courses

Having product knowledge is key to serving clients with the best options for maximizing their finances. With our IAR CE catalog investment advisers can learn the latest about IRAs, deferred income annuities, Section 1035 exchanges and more.  

NASAA MODEL REGULATION STATE ADOPTIONS

State Adoptions of NASAA Rule on Investment Adviser Representative Continuing Education (Model Rule 2002-411(h) or 1956-204(b)(6)-CE)

 

The NASAA Model Rule 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 to the right shows each state's adoption status of the model rule. State's highlighted green on the map have officially adopted.

 

Map of State Adoption for IAR CE Requirements

Map last updated .
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MODEL RULE EFFECTIVE DATES
Arkansas TBD Oklahoma 1/1/2023
Kentucky 1/1/2023 Vermont 1/1/2022
Maryland 1/1/2022 Wisconsin 1/1/2023
Michigan 1/1/2023 Washington, D.C. TBD
Mississippi 1/1/2022
Nevada TBD