REGULATIONS CALIFORNIA adopts IA rep. continuing education requirement - 30 May 2024

As adopted, California registered investment adviser representatives must complete within the 2024 reporting period and for each subsequent reporting period: (1) an IAR ethics and professional responsibility requirement consisting of six credits of IAR ethics and professional responsibility courses offered by an authorized provider, with at least three credits covering ethics; and (2) an IAR products and practice requirement consisting of six credits of IAR products and practice courses offered by an authorized provider. An “authorized provider” is a person NASAA authorizes to provide continuing education courses in accordance with the process set forth in the NASAA IAR CE Program Handbook, January 2023 Edition, on pages 7 through 11.Agent of FINRA-registered broker-dealer compliance. Investment adviser representatives also registered as FINRA broker-dealer member agents who comply with FINRA's continuing education requirements are deemed to comply with (2) above, so long as the FINRA continuing education course also meets the NASAA criteria set forth in the NASAA IAR CE Program Handbook, January 2023 Edition, on pages 20 through 27. Other requirements and terms are specified. 

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