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Navigating Compliance with Coulter Strategic Services

Welcome to our Investment Adviser Continuing Education (IARCE) page. Here, you will find courses that have been approved for IARCE. We continuously update our offerings, so please check back often for new courses. Coulter Strategic Services is an approved IARCE Provider.

 

Investment Adviser Continuing Education (IARCE) is a program established to ensure Investment Adviser Representatives (IARs) remain knowledgeable and compliant with current regulatory requirements and best practices. As per the model rule adopted by the North American Securities Administrators Association (NASAA) on November 30, 2020, IARs must obtain 12 CE credits each year. This includes six credits in Products and Practices and six credits in Ethics and Professional Responsibility.

 

To determine if your state still requires the IARCE, please check here. Please note that more states are adopting the rule, so periodically review the list.

 

The model rule applies to all registered IARs in jurisdictions that have adopted it, regardless of where the IAR is domiciled or where the firm is registered or notice filed. The collaboration between state securities regulators and the industry aims to promote heightened regulatory compliance and enhance the service provided by IARs to their clients.

 

For more information on the model rule and its requirements, please refer to the official NASAA documentation available here.

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