Investment Adviser Representative CE

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What You Need to Know About NASAA's EVEP Program

The newly adopted NASAA Investment Adviser Representative Examination Validity Extension Program Model Rule (referred to as EVEP and The Rule) is the latest attempt by securities industry regulators to answer the call for greater personal and professional flexibility. Get a complete guide to NASAA’s new IAR Examination Validity Extension Program (EVEP).

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Knowing the IAR CE Requirements

Understanding new requirements can be complicated, we're here to help.
Here are a few common FAQs.

Who is required to complete CE?

All state and federal covered registered IARs will be required to meet the CE requirements of any state in which the IAR is registered that has adopted the model rule.

How many hours are required?

12 total hours will be required with 6 hours in Ethics & Professional Responsibility (3 specific to ethics) and 6 hours in Products & Practice.

To self-monitor your IAR CE, review your IAR CE transcript or view your IAR CE requirement status, please login to your FinPro account.

When are completions due?

CE will be due on an annual basis. If CE is not complete in time, their status will be set to "CE Inactive" and the IAR will be unable to renew their registration.

What are the reciprocity rules?

If the IAR's home state has CE requirements at least as stringent as the model rule and the IAR is in compliance with the home state’s IAR CE requirements they will be compliant.

The Regulatory Element may qualify for six hours of Products and Practices IAR CE. Dually registered individuals who have completed the Regulatory Element should contact their compliance department or FINRA to submit their request and pay the required fee for to meet this requirement.

NASAA Model Regulation State Adoptions

The NASAA Model Rule (Model Rule 2002-411(h) or 1956-204(b)(6)-CE) is being adopted on a state-by-state basis, but states are not required to adopt. However, if your state does not adopt the model rule, you still may be subject to completing CE credits for states where you are registered that have adopted the model rule to stay in compliance.

The map below shows each state's adoption status of the model rule according to the NASAA member adoption.

Map of states adopting IAR NASAA Model Rule

Map last reviewed & updated November 2024.

MODEL RULE EFFECTIVE DATES
Arkansas	2023	New Jersey	2025
California	2024	North Dakota	2024
Colorado	2024	Oklahoma	2023
Florida	2024	Oregon	2023
Hawaii	2024	Rhode Island	2025
Kentucky	2022	South Carolina	2023
Maryland	2022	Tennessee	2024
Michigan	2023	Vermont	2022
Minnesota	2025	Washington, D.C.	2023
Mississippi	2024	Wisconsin	2023
Nebraska	2025	US Virgin Islands	2025
Nevada	2021

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