RIA Compliance and Practice Management Blog

RIA in a Box Announces New IAR Continuing Education Program

Posted by RIA in a Box

Jun 22, 2022 11:48:47 AM

RIA Continuing Education

Earlier this week, RIA in a Box  announced the release of a new investment adviser representative (IAR) Continuing Education (CE) Program. The new program supports the North American Securities Administrators Association (NASAA) model rule for continuing education requirements, adopted on Nov. 24, 2020. 

The CE program is designed for IARs to advance their fiduciary knowledge and fulfill their CE requirements through the MyRIACompliance® platform.

Learn More About Our IAR Contuining Education Program

Every IAR under section 404 of the Uniform Securities Act (2002) must complete IAR continuing education requirements, including:

  • Six credits annually in ethics and professional responsibility, with at least three of the six hours covering ethics.
  • Six credits annually in products and practices.
  • Courses must be completed within the calendar year to remain registered and compliant in the IAR's state.

The rule, which is adopted state-by-state, has been implemented in nine states as of June 2022, including Arkansas, Kentucky, Maryland, Michigan, Mississippi, Nevada, Vermont, Washington D.C. and Wisconsin.

RIA in a Box is an approved course provider now offering on-demand courses developed by former regulators, compliance professionals and cybersecurity experts. We are excited to provide an extensive and diverse course selection to help advisers meet the CE requirements.

Supervisor users can monitor each individual's completion progress within the MyRIACompliance platform. RIA in a Box will report each IAR’s results directly to the Financial Industry Regulatory Authority (FINRA).

IAR Continuing Education NASAA model rule

Schedule a Demo

Do you want to learn how your advisers can complete their continuing education requirements with our continuing education program? Contact us today! 

Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.

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