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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 last reviewed & updated February 2026.
| 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 |
| Indiana | 2027 | South Carolina | 2023 |
| Kentucky | 2022 |
Tennessee | 2024 |
| Maryland | 2022 |
Vermont | 2022 |
| Michigan | 2023 | Washington, D.C. | 2023 |
| Minnesota | 2025 | Wisconsin | 2023 |
| Mississippi | 2024 | Us Virgin Islands | 2025 |
| Nebraska | 2025 | ||
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