- This event has passed.
Last Call for IAR CE in 2024
December 18
If your firm has an investment adviser representative (“IAR”) licensed in Arkansas, California, Colorado, Florida, Hawaii, Kentucky, Maryland, Michigan, Mississippi, Nevada, North Dakota, Oklahoma, Oregon, South Carolina, Tennessee, Vermont, Washington, D.C., or Wisconsin, such IAR should be completing (if IAR hasn’t already done so) the required Investment Adviser Representative Continuing Education (“IAR CE”) courses this week so these credits are processed before the CRD system’s year-end shutdown on December 26, 2024.
If an IAR does not fulfill the annual IAR CE requirements for the calendar year, the IAR’s registration status on WebCRD will be set to “CE Inactive,” which will be viewable by state securities regulators and by the general public on IAPD and Broker Check.
The CE Inactive status will remain until the deficiencies are corrected or action is taken by the applicable state securities regulator(s).
If the CE Inactive status persists through the close of the following calendar year, the IAR will be ineligible to renew their registration or to initiate a new IAR registration via WebCRD until the deficiency is corrected.
As a result, if your IAR has a CE Inactive status from 2023 and the necessary IAR CE courses haven’t been completed in 2024, the IAR’s registration will not renew with the applicable securities regulator.
The IAR CE courses sponsored by RIA Compliance Consultants, Inc. (via CE4Advisers.com) must be completed by Friday, December 20, 2024, in order to be filed in CY 2024 – please check your IAR CE provider’s internal deadline to avoid a deficiency or failure to renew.
⚠️ Disclosure: This reminder is for general educational purposes only and should not be considered specific advice to the reader.
