IAR Continuing Education (CE)

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

How IAR CE Works

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

IAR CE: Credit Requirements

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. Advisers that are licensed in states that have adopted have until the end of the year (December 31st) to comply!

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.

Full Package vs Half Package

At Quest CE, we offer both full IAR CE package options (12 credits) or half packages (6 credits), depending on if you and/or your advisers 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.

Individual Training vs Firm Programs

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

Individual Training

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

Set-up a Firm Program

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

Popular IAR CE Courses

Check out these popular courses, available for purchase today!

Enhanced AML Protocols and Investment Advisor Responsibilities

(1 Credit, CFP Dual Credit)

Ethically Serving Senior & Vulnerable Investors

(1 Credit, CFP Dual Credit)

Reg BI Essentials: A Comprehensive Guide for Investment Advisors

(1 Credit, CFP Dual Credit)

Frequently Asked Questions

You have questions – we have answers!

Every investment adviser representative (IAR) registered in a jurisdiction that adopts the model rule will be subject to its CE requirements. The mandatory CE program will apply to all registered IARs of both state-registered and federal covered investment advisers. IARs will be required to meet the CE requirements of any state in which the IAR is registered.

Duplicate courses will not count toward the IAR CE requirement, even if completed in another year. However, a duplicate course that has been updated with a new course number will provide the IAR with CE credit for that course. Every course that is taken must have a unique course ID. The course ID will be available to the IAR so they can review that against their own records.

Yes, if the training is approved by NASAA. Quest CE will let firms know which of its courses qualify for IAR CE in case they would like to look for course content that meets the CE requirements for both IAR CE and Firm Element CE.

If an IAR does not complete the CE requirement by the annual deadline, the IAR will pay the registration renewal fee and CRD will set his or her IAR CE status to “CE Inactive,” which will then appear in the Investment Adviser Public Disclosure (IAPD) and in BrokerCheck. CE Inactive is a notice to the IAR that if CE is not completed by the end of the year, the IAR will be unable to renew his or her registration.

An IAR registered in another state who is also registered as an IAR in his or her home state is in compliance if the home state has CE requirements that are at least as stringent as the model rule and the IAR is in compliance with the home state’s IAR CE requirements.

IARs will need to attain 12 CE credits each year to maintain their IAR registration. A “credit” is a unit that has been designated by NASAA to be at least 50 minutes of educational instruction. The 12 credits must include 6 credits of Products and Practices and 6 credits of Ethics and Professional Responsibility.

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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Address

10100 W. Innovation Drive
Suite 200
Milwaukee, WI 53226

Email

info@questce.com

Phone

(877) 593-3366

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