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IAR Continuing Education

To comply with NASAA's new investment advisor continuing education model rule, we offer training solutions for individual advisors as well as investment advisory firms.
COMING SOON

State-Approved NASAA IAR CE

Quest CE has been monitoring NASAA's adoption of the IAR CE Model rule and has recently been approved through Prometric as an approved provider to offer IAR continuing education. Quest CE’s solution will be available to state-registered and federally covered investment advisors, as well as firms looking to manage a program on behalf of their firm members. Our team is currently in the process of getting course content approved for credit.

*If you would like to be alerted when a full catalog is available, please fill out the request below.

NASAA IAR CE Rule: State Adoptions

See the map below for pending and adopted model rule regulation.

 
No Regulation
 
Pending Adoption
 
State Adopted

Frequently Asked Questions

You have questions - we have answers.
Who will the IAR CE program apply to?
Every investment adviser representative (IAR) registered in a jurisdiction that adopts the model rule will be subject to its CE requirements. The mandatory CE program will apply to all registered IARs of both state-registered and federal covered investment advisers. IARs will be required to meet the CE requirements of any state in which the IAR is registered.
Can I complete the same course in two successive renewals?
Duplicate courses will not count toward the IAR CE requirement, even if completed in another year. However, a duplicate course that has been updated with a new course number will provide the IAR with CE credit for that course. Every course that is taken must have a unique course ID. The course ID will be available to the IAR so they can review that against their own records.
How many credits/hours are required?
Beginning in 2022, IARs will need to attain 12 CE credits each year to maintain their IAR registration. A “credit” is a unit that has been designated by NASAA to be at least 50 minutes of educational instruction. The 12 credits must include 6 credits of Products and Practices and 6 credits of Ethics and Professional Responsibility.
What happens if an IAR does not complete CE in a timely manner?
If an IAR does not complete the CE requirement by the annual deadline, the IAR will pay the registration renewal fee and CRD will set his or her IAR CE status to “CE Inactive,” which will then appear in the Investment Adviser Public Disclosure (IAPD) and in BrokerCheck. CE Inactive is notice to the IAR that if CE is not completed by the end of year, the IAR will be unable to renew his or her registration.
Will I receive reciprocity in other states if I comply with my home state?
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 that are at least as stringent as the model rule and the IAR is in compliance with the home state’s IAR CE requirements.
Does FINRA Firm Element training count toward IAR CE requirements?
Yes, if the training is approved by NASAA. Quest CE will let firms know which of its courses qualify for IAR CE in case they would like to look for course content that meets the CE requirements for both IAR CE and Firm Element CE.