If your firm has Investment Adviser Representatives (IARs) who are registered in a jurisdiction that has adopted the North American Securities Administrators Association (NASAA) IAR Continuing Education (CE) Model Rule, your IARs must complete 12 hours of NASAA-approved CE each year.
That includes:
- 6 credits in ethics and professional responsibility
- 6 credits in products and practices
NASAA adopted the Model Rule to ensure IARs maintain ongoing knowledge of regulatory expectations, ethics, and industry practices. According to NASAA, the initiative promotes “heightened regulatory compliance” and helps IARs “better serve their clients by remaining knowledgeable of current regulatory requirements and best practices.”
States began implementing the rule in 2022, and more states continue to adopt the rule each year. The requirement applies to any IAR registered in an adopting jurisdiction, regardless of where the IAR resides or where the advisory firm itself is registered.
To help firms meet these requirements efficiently and with confidence, ACA is now a NASAA-approved provider of IAR CE, offering relevant courses delivered exclusively through our eLearning platform. Our solution is centralized, expertise-driven, and fully integrated with the rest of your training program.
Why Firms Choose ACA
ACA’s IAR CE program is designed to help firms meet NASAA requirements seamlessly, consistently, and within the controls of a centralized compliance ecosystem.
- Growing catalog of courses: Relevant topics in both key categories.
- Integrated course completion reporting to FINRA: ACA will report course completion rosters and pay the associated roster fees.
- Centralized solution with full Learning Management System (LMS) capabilities: Eliminate vendor fragmentation by managing training, compliance tasks, and CE reporting all in one ecosystem. Streamline course administration with automated reminders and completion tracking.
- ACA regulatory expertise: Our courses are authored and reviewed by ACA’s regulatory specialists, ensuring content reflects real-world examination trends, enforcement insights, and industry best practices. Your IARs receive CE that is practical, relevant, and trustworthy.
Available Only Through ACA’s eLearning Platform
- A separate eLearning module subscription
- An implementation/onboarding fee
- Per-user content fee
Ready to Streamline Your IAR CE Compliance?
Whether your firm is newly subject to the IAR CE requirement or scaling CE oversight across a growing team, ACA’s ComplianceAlpha provides the structure, expertise, and technology you need to stay compliant with confidence. To learn how we can support your compliance program, contact us today.