NASAA Continuing Education

NASAA IAR CONTINUING EDUCATION INTRODUCTION

The North American Securities Administrators Association (NASAA) has created this continuing education (IAR CE) program for investment adviser representatives (IARs). The program has a Products and Practice component and an Ethics and Professional Responsibility component. This program is intended to be compatible with other CE programs covering relevant content.

IARs play an important role in the financial lives of millions of Americans by providing advice on important financial decisions. NASAA’s IAR Continuing Education Committee has conducted substantial outreach efforts and considered comments from regulators and the securities industry in developing a model rule to better govern the IAR CE program and support IARs.

If you would like to apply, the course provider, instructor, and content application information is available below.
 

COURSE PROVIDER APPLICATION INFORMATION

NASAA and Prometric welcome applications for those interested in becoming approved IAR CE Course Providers.

If you are interested in becoming an IAR CE Course Provider, please complete the Course Provider online form and upload following items:

  1. A cover letter of interest. (required)
  2. The IAR CE Course Provider Application Form. (required)
     

INSTRUCTOR APPLICATION INFORMATION

If you are already an approved NASAA IAR CE Course Provider, then you can apply for instructors to be approved.

Each application costs $250.00.

Complete the Course Instructor online form and upload following items:
 

  1. The IAR CE Course Instructor Application Form. (required)
  2. A copy of your current resume or vita (required)

 

COURSE APPLICATION INFORMATION

If you are already an approved NASAA IAR CE Course Provider, then you can apply for courses to be approved.

Each application costs $250.00.

Complete  the Course Content online form and upload following items:
 

  1. The IAR CE Course Content Application Form. (required)
  2. A copy of your Course Syllabus or Course Outline. (required)
  3. A copy of your course assessment to be reviewed against the course objectives. (required)
  4. Your refund policy 'if' you are charging tuition or course fees. (optional)

 

The focus of the IAR CE Program is to promote regulatory compliance while also helping investment adviser representatives better serve their clients by remaining knowledgeable of current regulatory requirements and best practices.

For more information about the IAR CE Program, please contact Prometric directly CESecuritiesSupport@Prometric.com or contact Natasha Hurt at nhurt@nasaa.org.