Here are all the products that are included in your bundle.
All IAR CE Courses & Bundles, Ethics & Professional Responsibility CE
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
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, Ethics & Professional Responsibility CE
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, Ethics & Professional Responsibility CE
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
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
What this bundle covers
The NASAA Model Rule requires 12 CE credits each year: 6 in Products and Practices and 6 in Ethics and Professional Responsibility. This bundle delivers all six Ethics & Professional Responsibility credits in one enrollment.
Approved by NASAA to offer IAR CE under the NASAA Model Rule.
Credits are submitted through FINRA to your CRD record. No forms on your end.
Start, stop, and resume on any device. No scheduled sessions, no live attendance.
Drawn from two decades of hands-on compliance and regulatory practice.
Courses in this bundle
Five courses totalling six credits. Complete them in any order.
Ethics & Professional Responsibility 6 credits
State requirements
These jurisdictions have adopted the NASAA IAR CE Model Rule, with the year the requirement took effect.
Common questions
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.
No. This bundle provides all 6 Ethics and Professional Responsibility credits — the complete Ethics half of the requirement — but none of the 6 Products and Practices credits. You will need those separately. The 12 Credit Hours bundle covers both halves in one enrollment.
Advisers who have already earned their Products and Practices credits this year — through another approved provider, a firm training program, or a previous purchase — and only need to complete the Ethics and Professional Responsibility category.
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.
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.
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.
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.
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.
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.
Complete the Ethics half
Instant access · Self-paced · Completion reported to CRD
Also available
Pair this bundle with its counterpart, or take the full year in one enrollment at the lowest cost per credit.
12 Credit Hours — $99.99 Both halves in one enrollment. Satisfies the complete annual requirement. View bundle → 6 Credit Hours Products & Practices — $54.99 All six Products & Practices credits — suitability, the Marketing Rule, AI compliance, Form ADV, and more. View bundle →Providence Compliance LLC is approved by NASAA as a provider of Investment Adviser Representative Continuing Education under the NASAA Model Rule. Approval as a CE provider does not constitute an endorsement of course content by NASAA, or any state securities regulator. IAR CE requirements vary by jurisdiction; representatives are responsible for confirming the requirements applicable to their registrations. This material is educational and is not legal advice.
