Please allow up to one week for courses to appear on your IAR CE transcript. Generally, NASAA reports course completions on the first business day of each week. To receive credit during our weekly reporting, courses must be completed by 11:59pm Eastern Time on Sunday.
Introduction to IAR CE (0.5 credits of Products and Practice)
Course Description: This course provides a concise overview of the Investment Adviser Representative (IAR) Continuing Education (CE) requirements. Participants will explore the history and purpose of the IAR CE rule, understand basic requirements across categories such as Products and Practice and Ethics and Professional Responsibility, and learn to identify approved course providers. The course will also cover managing and tracking CE credits using tools like FinPro, as well as navigating professional designations and dual registration. Knowledge assessments will reinforce learning, equipping participants to confidently comply with IAR CE requirements.
Ethics for Investment Adviser Representatives (1 credit of Ethics)
Course description: This IAR CE course is an ethics overview for investment adviser representatives. It will discuss an investment adviser’s fiduciary duties and provide details on how to identify and avoid conflicts of interest. After successfully passing the course assessment, this course will grant the IAR one credit of Ethics and Professional Responsibility credit. Upon registering for this course, you will be charged a non-refundable $3 reporting fee. Updated July 2024.
IAR CE – I Invest Too: Building Capacity (C80875) (0.5 credits of Ethics)
Course Description: This podcast episode explores the lived experiences and professional insights of Theaston White, a consultant from East Coast Canada. The conversation centers on systemic inequities in financial services, strategies for inclusive engagement, and the importance of authentic leadership in driving equity. Upon registering for this course, you will be charged a non-refundable $1.50 reporting fee. After successfully passing the course assessment, this course will grant the IAR 1/2 credit of Ethics credit.
IAR CE – Trusted Contact Persons (C28254) (1 credit of Products and Practice)
Course Description: This training is aimed at investment adviser representatives in the United States and industry participants in Canada subject to Canadian National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Mutual Fund Dealer Association (“MFDA”) Rule 2 Business Conduct; and/or Investment Industry Regulatory Organization of Canada (“IIROC”) Rule 3200 Know Your Client and Client Accounts. Upon registering for this course, you will be charged a non-refundable $3.00 reporting fee. After successfully passing the course assessment, this course will grant the IAR 1 (one) credit of Products & Practice credit.
*Users must create a non-member account and be signed into the NASAA Learning Platform in order to view and register for these IAR CE courses.
