IAR Continuing Education Program

Advance your fiduciary knowledge and fulfill the Investment Adviser Representative Continuing Education requirement through the MyRIACompliance® platform.

Designed for Investment Advisers by Industry Experts

On November 24, 2020, North American Securities Administration Association ("NASAA") members elected to adopt an investment adviser representative ("IAR") continuing education requirement ("CE") with the goal of ensuring that advisers receive proper and updated training on the securities business relevant to their duties and obligations. RIA in a Box is an approved continuing education provider, with resources and training materials available on the MyRIACompliance platform.

Why choose our continuing education program?

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.

Quality Content and Courses

Our courses are carefully crafted by former regulators, compliance professionals, and cybersecurity experts.

On-Demand Course Selection

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.

MyRIACompliance Integration

As IARs complete courses, supervisors can monitor their completion progress all through the MyRIACompliance platform.

 

Create A Culture Of Compliance One Course At A Time

IAR Continuing Education Program

Coming Soon

Every investment adviser representative registered under section 404 of the 2002 Act (or 201 of the 1956 Act) must complete the following IAR continuing education requirements:
  • 6 credits annually in Ethics and Professional Responsibility
  • 6 credits annually in Products and Practices
  • Courses must be completed within the calendar year to remain
    registered and compliant in the IAR's state
  • RIA in a Box will report the course completion to FINRA, NASAA’s
    vendor for program tracking
  • RIA in a Box is an approved course provider and courses are NASAA-approved 

The Continuing Education model rule takes effect on January 1, 2022 for states that have adopted the rule.

 

IAR CE Member Adoption

RIAB Continuing Education Program - States w/ Requirement

States with the IAR CE Requirement

The Continuing Education model rule is being implemented on a state-by-state basis. Here are the current states that have adopted the rule:

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.

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