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Rhode Island Investment Adviser (IAR) CE requirements

Investment Adviser Representative (IAR) — license renewal requirements, sourced from the official board.

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12CE hours every 1 yearVerify with board

Renewal: Annual requirement: 12 credits must be completed each calendar year and reported by December 31.

More on this license

Required categories

Ethics and Professional Responsibility (6 hours per year)
6h
Products and Practices (6 hours per year)
6h

Details

Reporting
Courses must be taken from NASAA-approved IAR CE providers; completions are reported to FINRA (NASAA's CE reporting vendor) and tracked by the IAR in FINRA's Financial Professional Gateway (FinPro).

Based on the NASAA Model Rule on Investment Adviser Representative Continuing Education (adopted by NASAA membership November 2020). Rhode Island adopted the model rule; IAR CE compliance effective January 1, 2025. Applies to every investment adviser representative registered in Rhode Island, for both state-registered and federally covered investment advisers. 12 credits per calendar year: 6 credits of Products and Practices and 6 credits of Ethics and Professional Responsibility (credits cannot be carried forward and the same course cannot be counted twice).

Official source: NASAA — Investment Adviser Representative Continuing Education (IAR CE)

⚠️Board rules change. Verify every figure against the official source before relying on it.

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