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, 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
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)
$14.95
-
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.
$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.