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 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.

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.

• WebCE courses are online self-study courses with non-monitored open-book final exams. Students must read through course material then complete exam.
• Courses approved by NASAA and CFP designation requires a 70% pass rate with a maximum of three (3) attempts.
• 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.
IAR CE credits are reported to NASAA or its designee (Prometric).

Online PDF Certificates of completion are available to print immediately after the final exam is passed. IARs should 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.