WHY ARE IARS REQUIRED TO COMPLETE CONTINUING EDUCATION? In other words, these IARs are only required to complete the six credits of ethics and professional responsibility content. member firm and in compliance with Finra’s Regulatory Element CE requirements is considered to be in compliance with the requirement to complete six credits of products and practices content. WHAT ARE THE REQUIREMENTS FOR DUALLY REGISTERED IARS?Īn IAR who’s also a registered representative of a Financial Industry Regulatory Authority Inc. The requirement includes six credits of products and practices content and six credits of ethics and professional responsibility content. Investment adviser representatives are required to complete 12 CE credits annually to maintain their IAR registration. WHAT ARE THE SPECIFIC REQUIREMENTS FOR IAR CONTINUING EDUCATION?
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