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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.