Providence Compliance Continuing Education
Specialized continuing education for investment adviser representatives—delivering practical, regulatory-focused courses that keep RIA professionals informed, compliant, and career-ready.
Continuing Education Courses
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All Courses, Products and Practices Courses
C28337 AI Compliance for Investment Advisers (1 Credit)
CourseThis 60-minute CE course teaches investment adviser representatives how to ensure AI usage complies with SEC, FINRA, and state regulations. Topics include privacy requirements, oversight obligations, fiduciary duties, and regulatory frameworks.
$14.95
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All Courses, CE Bundles
6 Credit Hours
BundleThis 6-credit hour bundle includes 3 hours of Products and Practices and 3 hours of Ethics and Professional Responsibility, providing comprehensive continuing education credit to advance your professional development.
$79.95
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All Courses, Products and Practices Courses
C27313 Marketing Under the “New” SEC Marketing Rule (1 Credit)
CourseThis course covers the SEC Marketing Rule for investment advisers, including advertisement definitions, prohibitions, testimonials, endorsements, performance standards, and recordkeeping. Case studies provide practical compliance insights.
$14.95
NASAA IAR CE State Adoption Map
States that have adopted the Investment Adviser Representative Continuing Education requirement
NASAA IAR CE State Adoption Map
States that have adopted the Investment Adviser Representative Continuing Education requirement
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States & Territories with IAR CE Requirements:
Arkansas (2023)
California (2024)
Colorado (2024)
Florida (2024)
Hawaii (2024)
Illinois (2026)
Kentucky (2023)
Maryland (2022)
Michigan (2023)
Minnesota (2025)
Mississippi (2022)
Nebraska (2025)
Nevada (2024)
New Jersey (2025)
North Dakota (2024)
Oklahoma (2023)
Oregon (2023)
Rhode Island (2025)
South Carolina (2023)
Tennessee (2024)
Vermont (2022)
Washington, D.C. (2023)
Wisconsin (2023)
U.S. Virgin Islands (2025)
Note: The NASAA IAR CE Model Rule requires Investment Adviser Representatives to complete 12 hours of continuing education annually, including 6 hours of Products and Practices and 6 hours of Ethics and Professional Responsibility.