Continuing Education (CE) Requirements for IARs
What Are Continuing Education (CE) Requirements for IARs? Under the NASAA model rule, IARs in adopting states must complete a set number of continuing education credits annually, typically split between ethics-focused content and products-and-practices content, tracked through a CE portal similar to the systems broker-dealer representatives already use. Not every state has adopted the requirement, […]
Certified Investment Management Analyst (CIMA)
What Is the Certified Investment Management Analyst (CIMA) Designation? The Certified Investment Management Analyst (CIMA) program covers topics like asset allocation, manager due diligence, risk measurement, and behavioral finance, aimed at professionals who advise on portfolio construction at an institutional or high-net-worth level. Unlike some other designations, CIMA candidates typically complete their education through an […]
Series 63
What Is the Series 63 Exam? The Series 63 is administered by FINRA on behalf of state regulators and focuses on state-level securities regulations, registration requirements, and ethical practices — it doesn’t cover investment products or advisory concepts the way the Series 65 or Series 66 do. Because of this narrower scope, holding a Series […]
Certified Financial Planner (CFP)
What Is the Certified Financial Planner (CFP) Designation? The CFP curriculum covers comprehensive financial planning topics — investments, retirement planning, tax planning, estate planning, insurance, and professional conduct — reflecting the designation’s broad, holistic planning focus rather than a narrower investment-management specialty. CFP holders are bound by the CFP Board’s own code of ethics and […]
Series 65
What Is the Series 65 Exam? Administered by FINRA on behalf of state regulators, the Series 65 tests knowledge of economics, investment vehicles, portfolio management concepts, and the laws and regulations governing investment advisers and their representatives. Unlike the Series 7 (which qualifies someone to sell securities as a broker-dealer registered representative), the Series 65 […]