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.
Tag Archives: IAR CE
New WSP/CoE Section Update – IAR CE
May 19, 2022
RIA Compliance Consultants has released a new WSP/CoE section update, IAR CE. This is a sample investment adviser compliance manual section related to the investment adviser representative continuing education (“IAR CE”) requirements of certain state securities regulators.
Michigan Proposes IAR Continuing Education Rule for 2023
February 22, 2022
The State of Michigan has announced that it expects to soon finalize its investment adviser representative continuing education (“IAR CE”) rule for 2023.
