Here are all the products that are included in your bundle.
All IAR CE Courses & Bundles, Products & Practices IAR CE Courses
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
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
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
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
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, Products & Practices IAR CE Courses
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
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 Products & Practices 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
Six courses totalling six credits. Complete them in any order.
Products & Practices 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 Products and Practices credits — the complete Products & Practices half of the requirement — but none of the 6 Ethics and Professional Responsibility credits. You will need those separately. The 12 Credit Hours bundle covers both halves in one enrollment.
Advisers who have already earned their Ethics and Professional Responsibility credits this year — through another approved provider, a firm training program, or a previous purchase — and only need to complete the Products and Practices 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 Products & Practices 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 Ethics — $54.99 All six Ethics & Professional Responsibility credits — fiduciary duty, code of ethics, client privacy, and senior investors. 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.
