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    Free Download · 2026 Edition

    The IAR Continuing Education Tracker

    A per-rep worksheet for the NASAA IAR CE rule — log all 12 annual credits, check which states apply, and catch CE Inactive risk before December 31.

    • State adoption check for every state where your reps are registered
    • Per-rep log: 6 Ethics & Professional Responsibility + 6 Products & Practice
    • Quarterly reminder schedule leading to the Dec 31 deadline
    • CE Inactive follow-up steps and exam-ready recordkeeping

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    What's inside

    5 sections, 30 line items plus a per-rep credit log — built for the CCO who has to prove every rep finished CE on time.

    1

    Section 1 — Confirm which states' CE rules apply to each rep

    2

    Section 2 — Set up the firm's CE tracking process

    3

    Section 3 — Per-rep credit log (Ethics + Products & Practice)

    4

    Section 4 — Quarterly reminders and the Dec 31 deadline

    5

    Section 5 — CE Inactive follow-up and recordkeeping

    Why the CCO owns IAR CE, even though reps take the courses

    Under the NASAA IAR Continuing Education Model Rule, each investment adviser representative registered in an adopting state must complete 12 credits every calendar year: 6 in Ethics and Professional Responsibility and 6 in Products and Practice. Courses must come from NASAA-approved providers, and completions are reported to the rep's FINRA CRD record.

    A rep who misses the deadline is shown as CE Inactive, which can block their registration from renewing. Examiners and state regulators expect the firm to know each rep's status, so a simple firm-level tracker is the fastest way to stay ahead.

    • Check adoption in every state where each rep is registered, not just your home state
    • Confirm credits have posted to CRD, not just that a course was taken
    • Keep the tracker with your annual compliance review records

    Built by working CCOs

    Compiled from live engagements across SEC-registered, state-registered, and exempt-reporting firms.

    2026-current

    Reflects the rules and guidance in effect for the 2026 examination cycle.

    Examiner-tested

    Organized around the deficiency themes regulators actually cite in exam letters.

    Frequently asked questions

    How many IAR CE credits are required each year?

    In states that have adopted the NASAA model rule, 12 credits per calendar year: 6 Ethics and Professional Responsibility and 6 Products and Practice, completed by December 31.

    Does FIN Group provide CE courses?

    No. FIN Group is not a CE provider. Courses must come from NASAA-approved providers. FIN Group helps clients track completion, send reminders, and follow up on CE Inactive reps.

    Does every state require IAR CE?

    Not yet. Adoption is state by state and the list keeps growing. Check NASAA's current list and each state's securities regulator for your reps' registrations.

    Want us to track CE for your reps?

    Bronze and Silver compliance packages include annual IAR CE reminders and a completion log. Silver adds CE Inactive follow-up for every rep.

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