How many CE credits do investment adviser representatives need each year?

Twelve. Under the NASAA Model Rule, every registered IAR must complete 12 CE credits annually: 6 credits of Products and Practices and 6 credits of Ethics and Professional Responsibility. The categories are not interchangeable, so extra Ethics credits will not cover a shortfall in Products and Practices.

Does this bundle satisfy my entire annual requirement?

Yes. The bundle contains all 12 credits in the required 6-and-6 split, so no additional coursework is needed for the IAR CE requirement in the year you complete it.

Is Providence Compliance an approved IAR CE provider?

Yes. The NASAA IAR CE program, has approved Providence Compliance as a provider of Investment Adviser Representative Continuing Education for IARs of state-registered and federally covered investment advisers subject to the Model Rule.

How is my course completion reported?

We report your completed credits through FINRA, which posts them to your CRD record. You do not need to submit anything to your state securities regulator yourself. Allow a short processing window after completion for credits to appear.

What is the deadline to complete my IAR CE?

December 31 of each year. Credits do not carry forward, so credits earned beyond the 12 required in a given year cannot be applied to the following year.

What happens if I do not complete my CE on time?

Your registration status becomes CE Inactive at renewal. You remain registered but cannot renew until the outstanding credits are completed and reported. Requirements and consequences vary by jurisdiction, so confirm the specifics with your state securities regulator.

Can I complete the courses at my own pace?

Yes. Every course is self-study and available on demand. You can start and stop as often as you like, and your progress is saved between sessions.

Do these credits count toward my CFP or insurance CE?

Not automatically. IAR CE is a separate requirement from CFP Board continuing education and state insurance CE. Where a course carries approval for more than one program, it is noted on that course's page.

12-Hour IAR CE Course Bundle | Providence Compliance

All IAR CE Courses & Bundles, Ethics & Professional Responsibility CE

C27885 Fiduciary Ethics for Investment Advisers (1 Credit)

Course

This course equips RIAs with essential fiduciary obligations and ethical practices. Learn the highest standard of care, prudent investor standards, suitability requirements, and conflict of interest management.

$9.99

All IAR CE Courses & Bundles, Ethics & Professional Responsibility CE

C27887 Code of Ethics: Analysis & Application (2 Credits)

Course

Learn the highest standard of care, prudent investor standards, suitability requirements, and how to manage conflicts of interest while acting in clients' best interests.

$19.95

All IAR CE Courses & Bundles, Products & Practices IAR CE Courses

C27886 IA Compliance: ADV, Contract and Communication (1 Credit)

Course

This course covers essential compliance for investment advisers: Form ADV, contracts, communications, recordkeeping, and supervision. Learn current regulations and best practices to meet RIA obligations effectively.

$9.99

All IAR CE Courses & Bundles, Products & Practices IAR CE Courses

C80720 Emerging Investment Products & Risk Management (1 Credit)

Course

Educates advisers on emerging investments, including digital assets, ESG, and alternatives. Covers risk management, regulatory compliance, portfolio integration, and client communication for complex products.

$9.99

All IAR CE Courses & Bundles, Products & Practices IAR CE Courses

C27313 Marketing Under the “New” SEC Marketing Rule (1 Credit)

Course

This 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.

$9.99

All IAR CE Courses & Bundles, Products & Practices IAR CE Courses

C28337 AI Compliance for Investment Advisers (1 Credit)

Course

This 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

All IAR CE Courses & Bundles, Products & Practices IAR CE Courses

C28364 Investment Strategy Basics (Module 1) (1 Credit)

Course

Learn 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

All IAR CE Courses & Bundles, Ethics & Professional Responsibility CE

C28473 Ethics for Senior Investor Care (1 Credit)

Course

The 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 IAR CE Courses & Bundles, Products & Practices IAR CE Courses

C82111 Suitability Under the Lens - Investment Recommendations, Product Disclosures, and the 2026 SEC Examination Priorities (1 Credit)

Course

A 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 IAR CE Courses & Bundles, Ethics & Professional Responsibility CE

C82200 Client Privacy and Data Security: The Ethics of Trust (Beginner) (1 Credit)

Course

A self-study CE course framing client privacy as a fiduciary duty, not just a compliance task. IARs learn why confidentiality matters, how Regulation S-P turns it into daily requirements, and how to spot privacy risks through advisory scenarios.

$9.99

All IAR CE Courses & Bundles, Ethics & Professional Responsibility CE

C82201 Client Privacy and Data Security: The Ethics of Trust (Intermediate) (1 Credit)

Course

Covers the SEC's 2024 Regulation S-P amendments, incident response and notification, vendor due diligence, AI, and cloud services, with ethical decision-making throughout. Reported to CRD. Reporting fee included.

$9.99

12 Credit Hours

Bundle includes

C27885 Fiduciary Ethics for Investment Advisers (1 Credit)

C27887 Code of Ethics: Analysis & Application (2 Credits)

C27886 IA Compliance: ADV, Contract and Communication (1 Credit)

C80720 Emerging Investment Products & Risk Management (1 Credit)

C27313 Marketing Under the “New” SEC Marketing Rule (1 Credit)

C28337 AI Compliance for Investment Advisers (1 Credit)

C28364 Investment Strategy Basics (Module 1) (1 Credit)

C28473 Ethics for Senior Investor Care (1 Credit)

C82111 Suitability Under the Lens - Investment Recommendations, Product Disclosures, and the 2026 SEC Examination Priorities (1 Credit)

C82200 Client Privacy and Data Security: The Ethics of Trust (Beginner) (1 Credit)

C82201 Client Privacy and Data Security: The Ethics of Trust (Intermediate) (1 Credit)

Your full annual IAR CE requirement, in one place

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Entirely self-paced

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