This class is approved as CPA CPE, CFP, CIMA, and IAR Ethics CE.
This course gives investment adviser representatives (IARs) practical guidance on IAR CE compliance under NASAA’s Model CE Rule. You walk away understanding exactly who the North American Securities Administrators Association is, what’s their model CE rule and the seismic shift in financial adviser regulation they have engineered. The class examines the surprising impact of the IAR CE Model Rule on CFP, CPA, CIMA and other financial advice professionals, like the 600% increase in ethics education imposed on CFPs, and 300% ethics CPE increase imposed on CPA financial professionals. You learn about the two categories of CE topics annually required, how to use FinPro effectively, and designing a sustainable CE routine. The class explains how to integrate education into firm operations to strengthen culture, compliance, and client trust. Designed for professionals seeking CFP and CPA-level rigor, this is 51 minutes of practical takeaways that can be applied immediately. Ideal for advisers searching for the best IAR CE course for compliance, ethics, and professional growth. With over a thousand professional education classes produced and 15 years of experience, instructor Andrew Gluck shares in-depth analysis of the IAR CE program from an insider’s perspective. You learn to:
• Understand NASAA’s Model Rule for IAR Continuing Education and gain clarity on how the rule impacts adviser regulation.
• Explain why mandatory CE protects investors and advisers and how education strengthens fiduciary accountability.
• Differentiate between the two CE categories: Ethics & Professional Responsibility versus Products & Practice CE.
• Apply IAR CE rules to firm processes and documentation, translating education into operational improvement.
• Navigate FinPro to verify and track CE completions.
• Implement a sustainable IAR CE schedule by planning sessions to meet regulatory requirements.
• Avoid common IAR CE compliance mistakes.
• Integrate learning into firm culture and team systems
• Adapt to technology and AI in CE delivery and understand how innovation reshapes adviser education.
• Use CE to build trust and mastery, and position ongoing education to your professional advantage.
Who Should Attend:
CFPs, CIMAs, CPAs, CPA/PFSs, and other financial practitioners subject to NASAA's Model CE Rule.
Cost:
Free to Advisors4Advisors members ($60/Qtr).
Credit Details: 1 hour
Submitted for IAR CE.
Field of Study: Ethics
Prerequisites: None
Advanced Preparation: None
Course Level: Basics
Course Delivery Method: Live
Approved CE/CPE Provider:
Advisors4Advisors is approved as a provider of IAR CE by the North American Securities Administrators Association.
Advisors4Advisors is approved by the National Association of State Boards of Accountancy (NASBA) as a Quality Assurance Service (QAS) Self-Study Provider, enabling CPA financial planners to earn CPE credit on-demand via webinars on A4A, as well as on live webinars.
State boards of accountancy retain final authority on course acceptance. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors at www.nasbaregistry.org.
Advisors4Advisors is approved as a CE sponsor by CFP Board, and by Investments & Wealth Institute, enabling credit for CFP®, CIMA®, and CPWA® professionals. This class may not be approved for credit by CFP Board or IWI.
For information regarding administrative policies, such as refunds, cancellations and complaints, mail [email protected].
