RIA in a Box, a leader in software-as-a-service providers of compliance, cybersecurity and operational software solutions to the wealth management industry, announced today a new continuing education (CE) program for investment adviser representatives (IAR). The program will provide advisers comprehensive training from an approved provider regarding best compliance practices, investment products and ethics through an easily accessible online platform.
The program is a direct response to the North American Securities Administration Association’s (NASAA) new CE rule, which was adopted in late 2021. The rule requires any IAR registered under section 404 of the 2002 Act or section 201 of the 1956 Act to complete a set of continuing education requirements through an approved provider over the course of a reporting period. The rule, which is implemented on a state-by-state basis, has been implemented in nine states as of June 2022, including Arkansas, Kentucky, Maryland, Michigan, Mississippi, Nevada, Vermont, Washington D.C. and Wisconsin.
“At RIA in a Box, we recognize the role IARs play in the lives of millions of Americans and the importance of proper education and understanding of current regulations, products and policies. We are deeply committed to empowering RIAs to run their businesses efficiently and remain in compliance with all applicable federal and state regulations,” said RIA in a Box President Will Bressman.
In addition to fulfilling the requirements of NASAA’s new CE rule, the program also features a full MyRIACompliance integration, which allows supervisors to monitor and track their teams progress through the courses. Once completed, RIA in a Box will report each IAR’s results directly to the Financial Industry Regulatory Authority (FINRA).
Learn more about RIA in a Box’s new CE program and sign up for courses today.
About RIA in a Box
RIA in a Box is the leading provider of compliance, cybersecurity and operational software to wealth managers and investment organizations. More than 2,200 registered investment advisor (RIA) firms use the platform to increase compliance workflow efficiency and to automate regulatory requirements. Visit riainabox.com for more information.
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