Investment Adviser Requirements
In accordance with the IAR Continuing Education rule, registered investment advisers will need to complete 12 credits to maintain registration in their
impacted jurisdiction.
In accordance with the IAR Continuing Education rule, registered investment advisers will need to complete 12 credits to maintain registration in their
impacted jurisdiction.
Our courses are carefully crafted by former regulators, compliance professionals, and cybersecurity experts.
We will offer extensive and diverse courses to help advisors meet the IAR CE requirements in their registered state. Topics will cover both components of the CE rule: Products and Practices, and Ethics and Professional Responsibility.
As IARs complete courses,
supervisors can monitor their
completion progress all through
the MyRIACompliance platform.
The Continuing Education model rule took effect on January 1, 2022 for states that have adopted the rule.
The Continuing Education model rule is being implemented on a state-by-state basis. Here are the current states that have adopted the rule:
Arkansas will implement the CE model rule, effective January 1, 2023. Completion of 12 credits to maintain registration in Arkansas is required by December 31, 2023.
Kentucky will implement the CE model rule, effective January 1, 2023. Completion of 12 credits to maintain registration in Kentucky is required by December 31, 2023.
Maryland has fully adopted the CE model rule. Completion of 12 credits to maintain registration in Maryland is required by December 31, 2022.
Michigan will implement the CE model rule, effective January 1, 2023. Completion of 12 credits to maintain registration in Michigan is required by December 31, 2023.
Mississippi has fully adopted the CE model rule. Completion of 12 credits to maintain registration in Mississippi is required by December 31, 2022.
State adoption is not finalized. If state adoption is not finalized prior to 2023, implementation will not occur until January 1, 2024.
Oklahoma will implement the CE model rule, effective January 1, 2023. Completion of 12 credits to maintain registration in Oklahoma is required by December 31, 2023.
Oregon will implement the CE model rule, effective January 1, 2023. Completion of 12 credits to maintain registration in Oregon is required by December 31, 2023.
State adoption is not finalized. If state adoption is not finalized prior to 2023, implementation will not occur until January 1, 2024.
South Carolina will implement the CE model rule, effective January 1, 2023. Completion of 12 credits to maintain registration in South Carolina is required by December 31, 2023.
Vermont has fully adopted the CE model rule. Completion of 12 credits to maintain registration in Vermont is required by December 31, 2022.
Washington, D.C. will implement the CE model rule, effective January 1, 2023. Completion of 12 credits to maintain registration in Washington, D.C. is required by December 31, 2023.
Wisconsin will implement the CE model rule, effective January 1, 2023. Completion of 12 credits to maintain registration in Wisconsin is required by December 31, 2023.
Disclaimer: NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed
are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.