We are excited to announce that Broadridge is now a sponsor of the Investment Adviser Representative Continuing Education (IAR CE) program. As part of this sponsorship, we are actively developing upcoming webinars and AIF® Designation Trainings as part of our IAR Approved Programs.
To understand the process, our programs will need to be submitted to IAR for approval before they can be offered as part of Fi360 CE. Please note that not all webinars and events will be submitted, not all will be approved, and we cannot preapprove CE credits. Each program will go through a thorough approval process. As the sponsor of these programs, it is the responsibility of Broadridge to submit any continuing education credits to FINRA on the behalf of the designee.
**Additionally, it is important to clarify that the programs available within the CE library are not IAR approved and therefore will not be submitted to FINRA. If you have any questions or need further information, feel free to reach out to our team. **
What does this mean for AIF ® Designees?
You asked, and we listened! We recognize the critical role compliance and professionalism play in the industry, especially concerning IAR CE for Investment Advisor Representatives. Our dedicated CE team is committed to keeping you informed about regulatory requirements and best practices, ultimately benefiting both you and your clients. It is our goal to be able to provide you with enough IAR CE to satisfy your annual requirements beginning in 2025.
Upcoming webinars: SAVE THE DATES!
We are currently developing the Retirement Income Consortium Webinar Series with the goal of obtaining approval as IAR programs. Stay tuned for updates.
November 7th: “How to” Implement Retirement Income Solutions – From the Advisor’s Perspective
December 12th: Year-End Wrap Up
What is an IAR?
An IAR (Investment Adviser Representative) is employed to provide investment or investment related advice to an individual for a fee but are limited to the advice they can provided based on the licenses held.
There is a new piece of legislation currently in the works. It is still pending, but Administrative Rule 451.4.29 mandates every IAR to annually complete 12 IAR CE credits to maintain their IAR registration. The 12 credits must include 6 credits of Products and Practices courses and 6 credits of ethics (at least 3 hours covering ethics) and Professional Responsibility courses.
IARs are required by most states to register and become licensed, and each home state has CE requirements. This rule has to be ratified and implemented by each state.
To learn more, visit NASAA: Investment Adviser Guide - NASAA