Have you ever considered offering IAR CE credits at one of your live or webinar-hosted wholesaler events, but just weren’t sure how or what it takes to get your course content/instructors approved? With NASAA’s model rule growing in popularity amongst states as they continue to adopt the regulation, now is the perfect time for wholesalers to expand into this new CE market.

Companies and wholesalers interested in offering IAR CE at their next continuing education event should be aware of the requirements that must be met to be approved for this type of content. The following paragraphs will walk through the necessary steps to begin offering IAR CE. Not sure what IAR CE is? Read our whitepaper, “Must Know Facts About the IAR CE Model Rule.”

How do I get my instructors approved to teach IAR CE?


Anyone may apply to become an IAR CE Course Instructor, regardless of their level of education, however, a background in the content area specific to the course is required. Like most other application processes, NASAA requires instructors to submit the following information:

  • Contact information
  • Resume or CV
  • The type of program for which you are applying:
    • Products and Practice
    • Ethics and Professional Responsibility
  • A signed agreement to meet the general requirements (see below)

General Requirements

In addition to general application materials, individuals who are applying to gain IAR CE providership must also meet and maintain the following general requirements:

  • Course Instructors will operate in good standing free from sanctions.
  • Course Instructors will have at least one of the following experiences delivering continuing education or compliance services or working in the securities industry or regulation of the securities industry. If instructors have more than one or all three experiences, it is encouraged that they indicate that experience on the IAR CE Program application.
    • Three years of experience within the past five years in the course subject matter
    • A college degree in the subject being taught, which qualifies you as an instructor
    • A license or a recognized professional designation related to the subject matter
  • Course Instructors will sign a conflict of interest (COI)* and promotions statement.

How do I get my courses approved for IAR CE credit?

Basic Requirements

To ensure content validity, reliability, and IAR CE program credibility, all approved Course Providers must apply to have their chosen courses approved. This includes asking applicants to list the following:

  • Course objectives
  • Level of difficulty
  • Method of Instruction (i.e. self-study versus instructor-led)
  • Course category (Ethics and Professional Responsibility vs Products and Practice)
  • Duration of course
  • Number of credits anticipated
  • A course outline detailing the topics and agenda supporting the course

Additional Considerations

  • “Credit” refers to a unit that has been designated by NASAA or its designee as at least 50 minutes of educational instruction.
  • Breaks, introductions, lunches, announcements, and other non-instructional activities do not qualify for CE credit.
  • No partial credit for partial attendance is allowed.
  • For Text-Based/Read-Only self-study courses, the word count will determine the number of credits assigned (180 words per minute)
  • Every “Ethics and Professional Responsibility” course must ensure that at least one-half (50%) of the material in the course is related to an IAR’s ethical responsibilities.


The minimum amount of credit that can be applied for is one-half (½) credit, or 25 minutes of instruction. Courses can only be assigned credit in one-half (½) or 1 whole credit increments.

Is an exam required for live courses?

No. New as of August 2023, NASAA is no longer requiring a course assessment to be provided for live courses. To learn more about the update, click here.

Do I need my own IAR CE Providership?

Yes, Quest CE will work with you to get your firm approved as a provider. Basic items for application include:

  • A one-page cover letter of interest
  • The type of program for which you are applying:
    • Products and Practice
    • Ethics and Professional Responsibility

For more information on how to get approved to offer IAR CE at your next wholesaler-sponsored event, contact us here.