– REGISTER BELOW –


If your firm has investment adviser representatives subject to NASAA’s IAR CE requirements, it’s important to understand the nuances of this regulation to ensure advisers stay compliant. Just recently, FINRA sent out thousands of notices, alerting advisers that their license status had turned to “CE Inactive” at the beginning of 2025. Were your advisers impacted?

In our upcoming webinar, we’ll provide background on the rule, as well as tips to establish effective compliance oversight. Get clarity on common state registration questions that could impact your adviser’s registration. We’ll also share proven strategies to maximize their credits, including how to leverage CFP® dual credit and apply FINRA Regulatory Element towards the requirement. Join the discussion February 6th, 2025 at 11AM.

Understanding the IAR CE Rules

  • What you need to know about the IAR CE requirements
  • Common state registration questions
  • What happens if you don’t comply?

Helping Maximize Advisers’ CE Credits

  • Getting dual credit with CFP® courses
  • Using FINRA Regulatory Element
  • Updating firm documentation (i.e. training plans, policies, etc.)

Managing Credits Completions

  • Avoiding common reporting errors
  • Where to find CE transcripts
  • Firm reporting: how to track credit completions


The seat limit per session is 250 participants. The anticipated duration of this webinar is 45 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact us here.