NASAA Investment Adviser Representative Continuing Education Requirements

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NASAA Investment Adviser Representative Continuing Education Requirements

Investment Adviser Representative Continuing Education Provider Number: 90082

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What are the Investment Adviser Representative Continuing Education requirements for NASAA?

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

Are there any subject area requirements for NASAA Investment Adviser Representative CE?

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.

Can Investment Adviser Representative CE courses be repeated?

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.

When does Investment Adviser Representative CE have to be completed?

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.

Can Investment Adviser Representative CE course hours carry over to the next renewal cycle?

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

Does the Regulatory Element count towards IAR CE compliance?

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.

How do representatives apply the Regulatory Element to their IAR CE 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.

What are the WebCE NASAA Investment Adviser Representative CE course requirements?

WebCE courses are online self-study courses with non-monitored open-book final exams. Students must 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.

What is the access period for WebCE NASAA Continuing Education courses?

12 months from the original date of purchase

How often does WebCE report NASAA Investment Adviser Representative CE course completions?

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

How do Investment Advisors view their CE transcript?

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.

Does WebCE supply a certificate of completion for NASAA Continuing Education courses?

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.

What are the NASAA Investment Adviser Representative CE requirements for non-residents?

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.

Are there any CE exemptions?

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

Who to contact for additional questions

NASAA

Address: 750 First Street, N.E., Suite 1140 Washington, D.C. 20002
Phone: 202-737-0900
Website: https://www.nasaa.org

WebCE^® provides information as a courtesy to individuals who are subject to continuing education under the NASAA model rule. Although reasonable efforts have been made to ensure that the information provided here is accurate and current, neither WebCE nor its employees warrant or represent that this information is accurate and current. Since regulations are constantly changing, we suggest you check with NASAA or your state to answer any questions or confirm any information.

Last updated on 4/9/2024

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