IAR Continuing Education (CE)

Quest CE is an approved provider of Investment Adviser Representative Continuing Education.

How it Works

We offer individual training for advisors and/or firm-sponsored programs. 

IAR CE: Credit Requirements

Adopted last year, NASAA’s model rule requires IARs to complete 12 credits of continuing education on an annual basis in jurisdictions that choose to adopt the model rule. Of the 12 credits that must be completed, six (6) of those need to cover Products and Practice Content and six (6) need to cover Regulatory and Ethics Content. Advisors that are licensed in states that have adopted have until the end of the year (December 31st) to comply!

ADOPTED STATES

Individual vs Firm Programs

Affected IARs are able to access and complete their continuing education now through Quest CE’s retail website. Additionally, firms have the option to create a continuing education program on behalf of their advisers through Quest CE. By doing so, the firm will have access to completion tracking and be able to send reminder emails about upcoming deadlines in the system. Quest CE additionally takes care of reporting all credits to FINRA on your behalf.

COURSE CATALOG

Full Package vs Half Package

At Quest CE, we offer both full package options (12 credits) or half packages (6 credits), depending on if you and/or your advisors only need to comply with the Ethics component or the Products and Practices component. Our catalog can also be applied to Firm Element CE and certain courses are even approved for CFP credit, which drops the passing exam score to 70% (otherwise, 100% is required).

Frequently Asked Questions

Individual Training vs Firm Programs

We have training for advisors, as well as firms looking to administer their own program

Individual Training

If you’re an advisors that’s ready to take your credits today, navigate over to our retail portal now and begin training!

TAKE TRAINING

Set-up a Firm Program

Want to learn more about our firm-sponsored programs? No problem, schedule a demonstration today!

SCHEDULE A DEMO

Popular Courses

Check out these popular courses, available for purchase today!

Introduction to Investment Adviser Compliance

(1 Credit)

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Introduction to the SEC’s Marketing Rule

(1 Credit)

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Ethical Issues Facing the Financial Services Industry

(1 Credit)

LEARN MORE

Complete Your Program

Finish your program by adding these other services!

Annual Questionnaires

Add an actionable ACQ to your program to verify your representatives’ annual activities and disclosures.

Conflict of Interest Tracking

Individually track Outside Business Activities, Gifts, Entertainment, Customer Complaints and more!

On-Demand Annual Compliance Meeting(s)

Cut costs, improve productivity and accelerate learning with our online meeting technology.

Contact Us

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