CE Programs Overview

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materials for the securities industry

Securities Industry CE Programs

There are several types of continuing education (CE) that an individual in the securities industry may be required to complete. These requirements are based on the registrations and other designations held by the individual. The diagram below lists some of the more common registrations and designations.

Click on each circle to learn more about each CE program and the registrations or designations to which they apply.

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</p> <h6 style='text-align: left;'>Investment Adviser Representative (IAR) Registration: IAR CE</h6> <p style='text-align: left;'>Every IAR registered in a jurisdiction that has <a href='https://www.nasaa.org/industry-resources/investment-advisers/investment-adviser-representative-continuing-education/member-adoption/' target='_blank' rel='noopener'>adopted</a> the North American Securities Administrators Association (NASAA) Model Rule on Investment Adviser Representative Continuing Education is subject to its <a href='https://iard.com/iar-ce' target='_blank' rel='noopener'>IAR CE</a>requirements to attain 12 CE credits annually. The 12 credits must include 6 credits of approved Products and Practice and 6 credits of approved Ethics and Professional Responsibility content.</p> <p style='text-align: left;'>Persons who complete their Regulatory Element CE in the same calendar year in which they are subject to an IAR CE requirement will receive credit for completing 6 Products and Practice IAR CE credits for that year as long as the individual or their firm reports it for IAR CE credit.The mandatory CE program applies to all registered IARs of both state-registered and federal-covered investment advisers in those jurisdictions.</p> <p>
</p> <h6 style='text-align: left;'>Insurance Representative License: Insurance CE</h6> <p style='text-align: left;'>State insurance regulators require that individuals who hold an insurance license for the “Variable Life and Variable Annuity Products” Line of Authority complete 24 hours of CE every two years. Three of the 24 hours must specifically focus on ethics.If a nonresident producer meets the CE requirements of their resident state, this should also satisfy the CE requirements of any nonresident state in which the producer holds a license. In addition, the biennial CE compliance period should coincide with the producer’s license renewal date.</p> <p style='text-align: left;'>Individuals should check with the state where they hold their resident insurance producer license to confirm the specific CE requirements.</p> <p>