Meet Your IAR Continuing Education Requirements

Any investment adviser representative (IAR) who is registered in a jurisdiction that has adopted NASAA’s model rule must complete the CE requirement.

IARs must complete 12 CE credits each year. The 12 credits must be split evenly:

• 6 credits in Products and Practices
• 6 credits in Ethics and Professional Responsibility

Courses cannot be repeated for credit again another year. ACA’s IAR CE Course Library will grow with you, adding new courses each year for both required categories.

IAR CE requirements begin on January 1 of the year after a state adopts the rule. Once the rule is effective, an IAR registered in that state must complete CE courses between January 1 and December 31 each year.

IARs registering in an IAR CE state for the first time must start completing CE in January of the first full calendar year after they become registered.

Yes, each course has an assessment that must be completed successfully. IARs must score at least 70% within three attempts to pass the assessment.

ACA will report course completion to FINRA, NASAA’s vendor for program tracking, and pay associated roster fees. There is no need to directly report the completion of CE to your state securities regulator.

To verify that credits have been properly submitted, an IAR can log into their FinPro account and monitor their reported courses. ACA’s eLearning module will also provide you will documentation for any courses that are completed.

Per NASAA, the CRD System Shutdown Date is a date determined by FINRA each year on which the Central Registration Depository (CRD) system is shut down for end-of-year processing. Course completions must be submitted before this date to be applied to the current year’s IAR CE processing of CE and registration statuses. ACA will ask that you complete all IAR CE courses two days in advance of this date.

Yes, the eLearning module is ACA ComplianceAlpha’s Learning Management System (LMS) which provides end-to-end administration capabilities for your entire training program. If you subscribe to the IAR CE courses, they will appear in your Course Catalog within the platform.

Our courses are authored by ACA experts and are delivered as online, self-study courses which allow IARs to work at their own pace. Our LMS provides a centralized place for automated administration and management of not just IAR CE, but your entire training and education program.