Frequently Asked Questions (FAQs) for Adviser CE

  • Who needs to comply with Investment Adviser Representative Continuing Education (IAR CE) requirements?

    Every investment adviser representative registered in a jurisdiction that has adopted the model rule must comply with IAR CE requirements, regardless of where their firm is registered.

  • How many CE credits are required annually for IARs?

    IARs need to complete 12 CE credits each year, which include 6 credits of Products and Practices and 6 credits of Ethics and Professional Responsibility.

  • What happens if I do not split my CE credits correctly between the required categories?

    If the 12 credits are not split evenly between Products and Practices and Ethics and Professional Responsibility (6 credits each), you will not meet the annual requirements.

  • Can IARs carry forward excess CE credits to the next year?

    No, any excess CE credits completed in a year cannot be carried over to the next year.

  • Is it possible to repeat a CE course for credit in subsequent years?

    No, courses must have a unique course identification number each year, and duplicate courses reported in the CRD will not count toward CE requirements. We are going to provide new course bundles every year to help you meet this requirement.

  • What should be included in the registration for CE courses?

    Participants should include their first name, last name, and personal CRD number. It is important that this information matches exactly with your FINRA registration records.

  • Why is it important to use personal CRD numbers instead of firm CRD numbers?

    Personal CRD numbers are required to ensure that CE credits are correctly attributed to the individual representative, not their firm.

  • What are the consequences of mismatched registration records?

    Mismatched records between the registration information provided for a CE course and FINRA registration records will lead to non-acceptance of CE credits by FINRA.

  • How can I ensure my course completions are accepted by FINRA?

    Always complete courses under your own profile, secured with your personal login and password, and verify that all registration details match your official FINRA records.

Learning Platform and Registration

  • How do I enroll in a course at Adviser CE?

    Enrolling in a course is simple. Just visit our Course Catalog, select the course you wish to enroll in, and follow the prompts to register and make your payment securely.

  • What types of payment do you accept?

    We accept various forms of payment including major credit cards and online payment systems. All payments are processed securely.

  • How are courses delivered at Adviser CE?

    All our courses are delivered online and can be accessed from anywhere at any time. You can complete your course at your own pace within the access period.

  • What is the format of the courses offered at Adviser CE? Can I pause and resume any course as needed

    All courses at Adviser CE are offered in a text-based, self-paced format. This allows you to start, pause, and resume any course at your convenience without being tied to a specific schedule. You can easily integrate these courses into your daily routine, progressing at a pace that works best for you. There are no scheduled webinars, providing you the flexibility to complete the courses according to your own time availability.

  • Can I access my course from any device?

    Yes, our courses are designed to be fully responsive and can be accessed from any computer, tablet, or mobile device with internet connectivity. Additionally, you can start the course on one device and continue it on another device later, allowing you the flexibility to switch between devices as needed without losing your progress.

  • How do I know if I've successfully completed a course?

    Upon successful completion of a course, you will receive a completion notification via email. Additionally, your progress and status will be updated on your user dashboard.

  • What happens if I fail to complete a course within the provided timeframe?

    If you do not complete your course within the allotted time, you may need to re-enroll and pay the course fee again. Please contact customer service for assistance or potential extensions.

  • Do the courses at Adviser CE provide Continuing Education (CE) credits?

    Yes, most of our courses at Adviser CE offer Continuing Education (CE) credits. To see which specific credits are offered by each course, please check the course description or the description of the course bundle. This will provide you with all the necessary details regarding the CE credits available.

  • How do you ensure the confidentiality of my personal information?

    We take your privacy seriously and comply with all relevant data protection regulations. Information regarding our privacy practices can be found in our Privacy Policy on the website.