[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"doc-seo-390703-105":3,"detail-sidebar-cat-0-en-105":81,"doc-detail-390703-en":131},{"code":4,"msg":5,"data":6},0,"ok",{"site_id":7,"language":8,"slug":9,"title":10,"keywords":11,"description":12,"schema_data":13,"social_meta":74,"head_meta":76,"extra_data":78,"updated_unix":80},105,"en","iar-continuing-education-south-carolina-iar-ce-requirements","IAR Continuing Education - South Carolina IAR CE Requirements","","South Carolina implemented new continuing education requirements for investment adviser representatives (IARs) under Attorney General Order Number 22004. The rules became effective January 1, 2023, requiring IARs registered as of that date to complete mandated CE courses by December 31, 2023. The program requires 12 annual CE credits, split between Products and Practices and Ethics and Professional Responsibility. It describes self-managed course selection through NASAA-approved providers, with completion reporting tracked via FINRA and NASAA, and includes guidance on using FINRA’s FinPro platform.",{"@graph":14,"@context":73},[15,34,56],{"@type":16,"itemListElement":17},"BreadcrumbList",[18,23,27,31],{"item":19,"name":20,"@type":21,"position":22},"https://docshare.wps.com","Home","ListItem",1,{"item":24,"name":25,"@type":21,"position":26},"https://docshare.wps.com/document/","Document",2,{"item":28,"name":29,"@type":21,"position":30},"https://docshare.wps.com/document/healthcare/","Healthcare",3,{"item":32,"name":10,"@type":21,"position":33},"https://docshare.wps.com/document/iar-continuing-education-south-carolina-iar-ce-requirements/390703/",4,{"url":32,"name":10,"@type":35,"image":36,"author":41,"headline":10,"publisher":44,"fileFormat":47,"inLanguage":8,"description":12,"dateModified":48,"datePublished":49,"encodingFormat":47,"isAccessibleForFree":50,"interactionStatistic":51},"DigitalDocument",{"url":37,"@type":38,"width":39,"height":40},"https://docshare.wps.com/thumbnails/iar-continuing-education-south-carolina-iar-ce-requirements/390703.png","ImageObject",300,407,{"name":42,"@type":43},"Mia  ","Person",{"url":19,"name":45,"@type":46},"DocShare","Organization","application/pdf","2026-10-27","2026-09-25",true,{"@type":52,"interactionType":53,"userInteractionCount":55},"InteractionCounter",{"@type":54},"ViewAction",11,{"@type":57,"mainEntity":58},"FAQPage",[59,65,69],{"name":60,"@type":61,"acceptedAnswer":62},"Who must comply with the IAR CE requirements?","Question",{"text":63,"@type":64},"Every IAR registered in South Carolina must comply. The program applies to both state-registered and federal covered investment advisers.","Answer",{"name":66,"@type":61,"acceptedAnswer":67},"When do IARs need to begin complying with the IAR CE requirements?",{"text":68,"@type":64},"IARs registered in South Carolina as of January 1, 2023 must begin taking CE courses in 2023 and obtain the required 12 credits by December 31, 2023. Newly registered IARs generally start compliance in the next calendar year.",{"name":70,"@type":61,"acceptedAnswer":71},"What credits and course categories are required each year?",{"text":72,"@type":64},"Beginning in 2023, IARs must obtain 12 CE credits each year. The 12 credits must include 6 credits of Products and Practices and 6 credits of Ethics and Professional Responsibility.","https://schema.org",{"og:url":32,"og:type":75,"og:title":10,"og:site_name":45,"og:description":12},"article",{"robots":77,"canonical":32},"index,follow",{"doc_id":79,"site_id":7},390703,1791089980,{"code":4,"msg":82,"data":83},"success",[84,88,92,96,101,106,110,115,120,123,127],{"id":22,"doc_module":4,"doc_module_name":25,"category_name":85,"show_sort_weight":86,"slug":87},"Story & Novel",90,"story-novel",{"id":26,"doc_module":4,"doc_module_name":25,"category_name":89,"show_sort_weight":90,"slug":91},"Literature",80,"literature",{"id":33,"doc_module":4,"doc_module_name":25,"category_name":93,"show_sort_weight":94,"slug":95},"Exam",70,"exam",{"id":97,"doc_module":4,"doc_module_name":25,"category_name":98,"show_sort_weight":99,"slug":100},5,"Comic",60,"comic",{"id":102,"doc_module":4,"doc_module_name":25,"category_name":103,"show_sort_weight":104,"slug":105},6,"Technology",50,"technology",{"id":107,"doc_module":4,"doc_module_name":25,"category_name":29,"show_sort_weight":108,"slug":109},7,40,"healthcare",{"id":111,"doc_module":4,"doc_module_name":25,"category_name":112,"show_sort_weight":113,"slug":114},8,"Research & Report",30,"research-report",{"id":116,"doc_module":4,"doc_module_name":25,"category_name":117,"show_sort_weight":118,"slug":119},9,"Religion & Spirituality",20,"religion-spirituality",{"id":118,"doc_module":4,"doc_module_name":25,"category_name":121,"show_sort_weight":118,"slug":122},"World Cup","world-cup",{"id":124,"doc_module":4,"doc_module_name":25,"category_name":125,"show_sort_weight":124,"slug":126},10,"Lifestyle","lifestyle",{"id":128,"doc_module":4,"doc_module_name":25,"category_name":129,"show_sort_weight":97,"slug":130},19,"General","general",{"code":4,"msg":82,"data":132},{"doc_id":79,"user_id":133,"nickname":42,"user_avatar":134,"doc_module":4,"category_id":107,"category_name":29,"doc_title":10,"doc_description":12,"doc_content":135,"file_id":136,"file_url":137,"file_type":138,"file_size":139,"view_count":55,"is_deleted":4,"is_public":22,"is_downloadable":22,"audit_status":22,"page_count":33,"language":140,"language_code":8,"site_id":7,"html_lang":8,"table_of_contents":141,"faqs":142,"seo_title":143,"seo_description":12,"update_tm":144,"read_time":124,"preview_page_count":4},687207024478,"https://ap-avatar.wpscdn.com/davatar_a8503ba1806abce46bf441b54a3ca4cd","IAR Continuing Education  \nOn August 10, 2022, the South Carolina Attorney General issued Order Number 22004, which sets out continuing education requirements for investment adviser representatives (IARs) . These requirements went into effect January 1, 2023, which means all IARs registered in South Carolina as of January 1, 2023, must complete the required Continuing Education (CE) courses by December 31, 2023.  \nThis new rule represents the culmination of years of work by the North American Securities Administrators Association (NASAA), its members (state securities regulators), and industry to develop a relevant and responsive IAR continuing education program. This CE program will promote heightened regulatory compliance while also helping investment adviser representatives better serve their clients by remaining knowledgeable of current regulatory requirements and best practices. The South Carolina IAR CE rule is substantially equivalent to the NASAA model rule.  \nTo learn more about NASAA and its mission, please visit [nasaa.org](nasaa.org).  \nIAR CE Requirements  \nEach IAR will need to attain 12 CE credits each year to maintain their IAR registration. The 12 credits must include 6 credits of Products and Practices and 6 credits of Ethics and Professional Responsibility. The mandatory CE program will apply to all registered IARs of both state-registered and federal covered investment advisers. IARs will self-manage selecting and completing courses, which will enable them to tailor their CE to their interests and  \nbusiness models. Courses are offered by NASAA approved course providers, which can be found on NASAA’s website. The course vendor/provider will report course completion to FINRA, NASAA’s vendor for program tracking.  \nFinancial Professional Gateway (FinPro)  \nFINRA’s Financial Professional Gateway ( FinPro ) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information and a platform to monitor their continuing education requirements. The FinPro system has previously been available to broker-dealer agents, and its extension to IARs will provide them with a mechanism to view courses taken and the progress towards completion of their annual CE requirement. Since IARs are responsible for ensuring their CE vendor reports completion of CE, they may find FinPro useful for tracking and monitoring CE. There is no cost to set up a FinPro account.  \nFeatures of FinPro:  \n• Track and monitor CE  \n• View CRD record  \n• Schedule an exam  \n• Review/download last Form U5  \nAn instructional guide to set-up a FinPro account can be accessed on FINRA’s website.  \nAdditional FinPro questions? See FinPro’s list of FAQs.  \nFAQs  \nWho must comply with the IAR CE requirements?  \nEvery IAR registered in South Carolina must comply with IAR CE requirements. The program applies to all registered IARs of both state-registered and federal covered investment advisers.  \nWhen do IARs need to begin complying with the IAR CE requirements?  \nIARs registered in South Carolina as of January 1, 2023, must begin taking CE courses in 2023, and obtain the required 12 credits by December 31, 2023.  \nWhen an individual registers for the first time as an IAR, they will not be subject to the CE requirements until the next calendar year. Similarly, if an IAR is registered only in states without a CE requirement and becomes registered in a CE state for the first time, the IAR will not need to comply with those CE requirements until the next calendar year. For example, if an IAR has not been registered in any states requiring CE and registers in South Carolina during 2023, that IAR will not begin complying with the CE rules until 2024. However, IARs who are already registered in an IAR CE state prior to registering in South Carolina must continue to complete their CE credit schedule for that calendar year. See “What if an IAR is registered in more than one state?” FAQ below.  ","cbCaiuOoonjUDkAH","https://ap.wps.com/l/cbCaiuOoonjUDkAH","pdf",164582,"English","# IAR CE Requirements\n## Credit requirements and course categories\n## Approved course providers and reporting\n# Financial Professional Gateway (FinPro)\n## Features and account setup\n# Frequently Asked Questions\n## Who must comply\n## When to begin complying\n## How credits are calculated","[{\"question\":\"Who must comply with the IAR CE requirements?\",\"answer\":\"Every IAR registered in South Carolina must comply. The program applies to both state-registered and federal covered investment advisers.\"},{\"question\":\"When do IARs need to begin complying with the IAR CE requirements?\",\"answer\":\"IARs registered in South Carolina as of January 1, 2023 must begin taking CE courses in 2023 and obtain the required 12 credits by December 31, 2023. Newly registered IARs generally start compliance in the next calendar year.\"},{\"question\":\"What credits and course categories are required each year?\",\"answer\":\"Beginning in 2023, IARs must obtain 12 CE credits each year. The 12 credits must include 6 credits of Products and Practices and 6 credits of Ethics and Professional Responsibility.\"}]","IAR Continuing Education - South Carolina IAR CE Requirements | PDF",1790338411]