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
-
All Courses, Products and Practices Courses
C82111 Suitability Under the Lens - Investment Recommendations, Product Disclosures, and the 2026 SEC Examination Priorities
CourseA 60-minute intermediate IAR CE course on the SEC's 2026 suitability priority. Covers older investors, dual-hatted advisers, new private funds, volatility-sensitive products, and first-time fund readiness — with file note checklists throughout.
$9.99
-
All Courses, Ethics and Professional Responsibility Courses
C28473 Ethics for Senior Investor Care (1 Credit)
CourseThe course teaches IARs ethical frameworks for senior protection. Topics include recognizing diminished capacity, detecting exploitation, reporting obligations, and trusted contacts. (1 Credit)
$9.99
-
All Courses, Products and Practices Courses
C28364 Investment Strategy Basics (Module 1) (1 Credit)
CourseLearn essential investment strategies for diverse client needs, covering Modern Portfolio Theory, asset allocation, risk assessment, and emerging trends like alternative investments and behavioral finance. (1 CE hour)
$9.99
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
Legend
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.