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IAA 2023 Compliance Workshops

Continuing Education Credit

CLE Credit
CLE accreditation is pending in CA, NE, NY, PA, and TX.
NH: The provider believes this course meets the requirement of NH Supreme Court Rule 53.
GA: Approved for 3.0 hours of CLE credit.
IL: Approved for 2.75 hours of CLE credit.
MO: Approved for 3.4 hours of CLE credit.

For more information or to request that your state be included, please contact

CPE credit is available for the IAA Compliance Workshops. Exact credit hours will be available soon. The IAA Compliance Workshops are presented in a virtual or in-person setting and are appropriate for intermediate and advanced skill levels. Previous courses in securities law or comparable work experience in the investment advisory industry is required. Advance preparation for the event is not required.

The Investment Adviser Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: 

CFP Credit
CFP credit is available for the IAA Compliance Workshops. Exact credit hours will be available soon.

IACCP Credit
The IAA’s virtual and in-person 2023 Compliance Workshops are approved for 3.0 hours for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credits. IACCP ® designees are responsible for submitting proof of attendance through the IACCP Resource Center portal by NRS’ reporting period deadline.

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