{"id":29912,"date":"2024-06-12T21:27:15","date_gmt":"2024-06-12T21:27:15","guid":{"rendered":"https:\/\/www.stcusa.com\/?p=29912"},"modified":"2024-11-08T16:17:18","modified_gmt":"2024-11-08T16:17:18","slug":"iar-ce-key-requirements","status":"publish","type":"post","link":"https:\/\/www.stcusa.com\/resource-center\/news-updates\/todd-talks\/iar-ce-key-requirements\/","title":{"rendered":"Todd Talks: IAR CE &#8211; Key Requirements"},"content":{"rendered":"<p><strong><em>Todd Rosenfeld, Chief Learning Officer at STC, discusses the<span style=\"font-size: 1.6rem;\">\u00a0k<\/span>ey requirements for IAR Continuing Education.<\/em><\/strong><\/p>\n<div style=\"width: 640px;\" class=\"wp-video\"><!--[if lt IE 9]><script>document.createElement('video');<\/script><![endif]-->\n<video class=\"wp-video-shortcode\" id=\"video-29912-1\" width=\"640\" height=\"360\" preload=\"metadata\" controls=\"controls\"><source type=\"video\/mp4\" src=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2024\/06\/Todd-Talks-IAR-CE-Part-One-1.mp4?_=1\" \/><a href=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2024\/06\/Todd-Talks-IAR-CE-Part-One-1.mp4\">https:\/\/www.stcusa.com\/wp-content\/uploads\/2024\/06\/Todd-Talks-IAR-CE-Part-One-1.mp4<\/a><\/video><\/div>\n<p data-block-id=\"block-d75221ee-b888-4a87-aba0-4f6b48b384f2\"><span style=\"color: #ffffff;\">a<\/span><\/p>\n<h6 data-block-id=\"block-d75221ee-b888-4a87-aba0-4f6b48b384f2\">Welcome to another edition of Todd Talks! In this video, we dive into the <a href=\"https:\/\/www.nasaa.org\/wp-content\/uploads\/2020\/10\/NASAA-IAR-CE-Model-Rule.pdf\">Model Rule<\/a> on Investment Adviser Representative Continuing Education (IAR CE) established by the North American Securities Administrators Association (NASAA), which has raised several inquiries.<\/h6>\n<p>Here is an outline of the key points to help you understand the current landscape of IAR CE requirements.<\/p>\n<div data-block-id=\"block-d75221ee-b888-4a87-aba0-4f6b48b384f2\"><\/div>\n<div class=\"ql-block\" data-block-id=\"block-d75221ee-b888-4a87-aba0-4f6b48b384f2\">\n<div class=\"flex flex-grow flex-col max-w-full\">\n<div class=\"min-h-[20px] text-message flex flex-col items-start whitespace-pre-wrap break-words [.text-message+&amp;]:mt-5 juice:w-full juice:items-end overflow-x-auto gap-2\" dir=\"auto\" data-message-author-role=\"assistant\" data-message-id=\"f768318a-219a-4af9-a1d4-212e494db1db\">\n<div class=\"flex w-full flex-col gap-1 juice:empty:hidden juice:first:pt-[3px]\">\n<div class=\"markdown prose w-full break-words dark:prose-invert dark\">\n<h3>Specific Requirements for IARs<\/h3>\n<p>Investment Adviser Representatives (IARs) must complete 12 CE credits annually to maintain their registration. This includes:<\/p>\n<ul>\n<li>6 credits in Products and Practices<\/li>\n<li>6 credits in Ethics and Professional Responsibility<\/li>\n<\/ul>\n<h3>Requirements for Dually Registered IARs<\/h3>\n<p>IARs who are also registered representatives of a FINRA member firm can use their FINRA Regulatory Element CE to satisfy the Products and Practices requirement. These IARs must only complete the 6 credits of Ethics and Professional Responsibility content.<\/p>\n<h3>Importance of CE for IARs<\/h3>\n<p><strong>Why CE Now?<\/strong><\/p>\n<p>The rapid growth of the investment advisory profession and the increasing amount of assets under management, projected to reach $147 trillion by 2027, necessitate ongoing education for IARs to protect clients and maintain industry standards.<\/p>\n<h3>State Adoption<\/h3>\n<p>State approval is necessary for the CE requirements to take effect. Initially adopted by three states in 2022, the mandate has expanded to 18 states, including major states like Florida, California, Michigan, and Wisconsin, as of 2024.<\/p>\n<p>IARs should regularly check NASAA\u2019s website or contact local securities regulators for updates.<\/p>\n<h3><strong>Compliance and Consequences<\/strong><\/h3>\n<p>If you pass the Series 65 or Series 66 exams in 2024, you may be exempt from CE requirements for that year but must comply the following year. Failure to complete the required CE can result in CE inactivity, necessitating double the credits to regain compliance.<\/p>\n<h3>Available IAR CE Courses<\/h3>\n<p>As an approved provider, STC offers<a href=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2023\/12\/IAR-CE-Course-Catalog-Updated-December-2023.pdf\">\u00a044 courses<\/a>\u00a0in the Products and Practices and Ethics and Professional Responsibility categories.<\/p>\n<p>To make completing CE easy, STC offers both<a href=\"https:\/\/www.stcusa.com\/securities\/continuing-education\/us\/iar\/\">\u00a06-hour and 12-hour bundles<\/a>. In addition to the selected number of online courses, each bundle includes the mandatory CE assessment, a Certificate of Completion, 24\/7 tech support, and automatic completion reporting to FINRA.<\/p>\n<p>STC expects to add courses throughout the year and will update its offering list<a href=\"https:\/\/www.stcusa.com\/securities\/continuing-education\/us\/iar\/\">\u00a0here<\/a>.<\/p>\n<\/div>\n<\/div>\n<\/div>\n<\/div>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p>Todd Rosenfeld, Chief Learning Officer at STC, discusses the\u00a0key requirements for IAR Continuing Education. a Welcome to another edition of Todd Talks! In this video, we dive into the Model Rule on Investment Adviser Representative Continuing Education (IAR CE) established by the North American Securities Administrators Association (NASAA), which has raised several inquiries. Here is [&hellip;]<\/p>\n","protected":false},"author":59,"featured_media":29122,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[98,2390,2388,2721,2705],"tags":[1614,2522,2587,2603,2706],"class_list":["post-29912","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-career","category-tools","category-news-updates","category-podcast","category-todd-talks","tag-featured","tag-registered-investment-advisor","tag-securities","tag-todd-rosenfeld","tag-todd-talks"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v23.9 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>IAR CE Requirement Guide and Available Courses | STC<\/title>\n<meta name=\"description\" content=\"Stay compliant with IAR CE regulations. STC expert Todd Rosenfeld shares essential guidelines for navigating this dynamic landscape.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.stcusa.com\/resource-center\/news-updates\/todd-talks\/iar-ce-key-requirements\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Todd Talk: IAR CE - Key Requirements\" \/>\n<meta property=\"og:description\" content=\"Security Training Corporation&#039;s Chief Learning Officer, Todd Rosenfeld discusses key requirements for IAR CE.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.stcusa.com\/resource-center\/news-updates\/todd-talks\/iar-ce-key-requirements\/\" \/>\n<meta property=\"og:site_name\" content=\"Securities Training Corporation\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/www.facebook.com\/stcusa\/\" \/>\n<meta property=\"article:published_time\" content=\"2024-06-12T21:27:15+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2024-11-08T16:17:18+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2023\/04\/TT-STC-pass-guarantee-scaled.jpeg\" \/>\n\t<meta property=\"og:image:width\" content=\"1600\" \/>\n\t<meta property=\"og:image:height\" content=\"1067\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/jpeg\" \/>\n<meta name=\"author\" content=\"STC USA\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Todd Talk: 2024 Settlement Update - The Change to T+1\u00a0\" \/>\n<meta name=\"twitter:description\" content=\"Security Training Corporation&#039;s Chief Learning Officer, Todd Rosenfeld discusses the SEC&#039;s settlement update to T + 1.\u00a0\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2023\/04\/TT-STC-pass-guarantee-scaled.jpeg\" \/>\n<meta name=\"twitter:creator\" content=\"@stcseries7\" \/>\n<meta name=\"twitter:site\" content=\"@stcseries7\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"STC USA\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.stcusa.com\/resource-center\/news-updates\/todd-talks\/iar-ce-key-requirements\/\",\"url\":\"https:\/\/www.stcusa.com\/resource-center\/news-updates\/todd-talks\/iar-ce-key-requirements\/\",\"name\":\"IAR CE Requirement Guide and Available Courses | STC\",\"isPartOf\":{\"@id\":\"https:\/\/www.stcusa.com\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\/\/www.stcusa.com\/resource-center\/news-updates\/todd-talks\/iar-ce-key-requirements\/#primaryimage\"},\"image\":{\"@id\":\"https:\/\/www.stcusa.com\/resource-center\/news-updates\/todd-talks\/iar-ce-key-requirements\/#primaryimage\"},\"thumbnailUrl\":\"https:\/\/www.stcusa.com\/wp-content\/uploads\/2023\/04\/TT-STC-pass-guarantee-scaled.jpeg\",\"datePublished\":\"2024-06-12T21:27:15+00:00\",\"dateModified\":\"2024-11-08T16:17:18+00:00\",\"author\":{\"@id\":\"https:\/\/www.stcusa.com\/#\/schema\/person\/1106b26a7ee00c2f6228d89d8da287f8\"},\"description\":\"Stay compliant with IAR CE regulations. 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