12-hours total including,

• 6-hours in Ethics and Professional Responsibility, with at least three (3) hours covering the topics of ethics
• 6-hours in Products and Practice

• 6-hours in Ethics and Professional Responsibility, with at least three (3) hours covering the topics of ethics
• 6-hours in Products and Practice

The Regulatory Element may qualify for six hours of Products and Practices IAR CE. 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.

CRD tracking will include duplicate courses in the course transcript section if reported, but duplicate courses will not count toward the IAR CE requirement, even if completed in another year.

Compliance will begin with the 2022 calendar year in states adopting the model rule with an effective date of January 1, 2022. CE credits must be reported by the end of each calendar year. Newly registered IARs will be required to meet the annual IAR CE requirement by the end of the first full calendar year following the year in which they first become registered.

Excess CE hours are not allowed to be carried forward to the annual term.

The Regulatory Element may qualify for six hours of Products and Practices IAR CE. 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.

If representatives are dually registered with FINRA and NASAA and have confirmed the Broker-Dealer firm has not opted in to having the Regulatory Element automatically applied to the IAR CE requirement, representatives can self-report the completion and request it to be applied to the IAR CE requirement through their FinPro account. An $18 filing fee will be required during the self-reporting process.

• WebCE courses are online self-study courses with non-monitored open-book final exams. Students should read through course material then complete exam.
• NASAA requires a 70% pass rate with a maximum of three (3) attempts. Students will be required to retake the course again after 3rd failed attempt.
• If a student does not pass the exam within three attempts, the student may re-enroll at no cost (by contacting support services at 877-488-9308) and retake the entire course, including the final exam.

12 months from the original date of purchase

Every business day to NASAA or its designee (FINRA).

Please Note: The CRD system will stop processing rosters on December 26th. All course rosters submitted prior to then will be processed and included in the current year renewal process.

WebCE will continue to submit rosters through the end of the year, however, rosters submitted between December 27 – December 31 will not be processed until the system comes back up after the first of the year.

To view your IAR CE transcript you must login to your FinPro account on the FINRA Gateway. Once you have logged in, select continuing education and you will be able to view your IAR completions.

Online PDF Certificates of completion are available to print immediately after the final exam is passed. IARs should keep all certificates of completion for a minimum of 5 years.

• An IAR registered in another state who is also registered as an IAR in his or her home state is in compliance if the home state has CE requirements are at least as stringent as the model rule and the IAR is in compliance with the home state’s IAR CE requirements.
• If the IAR’s home state has not adopted the model rule, the IAR will need to comply with the CE requirements in each of the other states in which he or she is registered as an IAR.

There are no exemptions or waivers available based on experience or other qualifications.