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Important 2025 Year-End IAR CE Processing

The CRD system will stop processing rosters for 2025 renewals on December 26 at 4:00 PM ET. Rosters submitted before the deadline will be included in the 2025 renewal process; those submitted after will still update CE statuses but will not count toward 2025 renewals.

IARs who are CE Inactive at the shutdown will immediately fail to renew (FTR), and their registration status will remain FTR until the CE deficiency is cleared and a new U4 is filed.

Knowing the IAR CE Requirements

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

Who is required to complete CE?

All state and SEC registered IARs will be required to meet the CE requirements of any state in which the IAR is does business.

How many hours are required?

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

To self-monitor your IAR CE, review your IAR CE transcript or view your IAR CE requirement status, please login to your FinPro account.

When are completions due?

CE is due on an annual basis based on the calendar year. If CE is not complete in time, their status will be set to "CE Inactive."

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 Rule 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. If your home state does not adopt the model rule, you still may be required to complete the CE requirements of the Rule for states where you do business that have adopted the Rule to remain compliant.

The map below shows each state's adoption status of the model rule according to the NASAA member adoption.

Map of states adopting IAR NASAA Model Rule

Map last reviewed & updated December 2025.

MODEL RULE EFFECTIVE DATES
Arkansas	2023	Nevada	2024
California	2024	New Jersey	2025
Colorado	2024	North Dakota	2024
Florida	2024	Oklahoma	2023
Hawaii	2024	Oregon	2023
Illinois	2026	Rhode Island	2025
Kentucky	2022	South Carolina	2023
Maryland	2022	Tennessee	2024
Michigan	2023	Vermont	2022
Minnesota	2025	Washington, D.C.	2023
Mississippi	2024	Wisconsin	2023
Nebraska	2025	Us Virgin Islands	2025

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