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IAA 2022 Compliance Workshops

Continuing Education Credit

The IAA has submitted CLE accreditation applications to the state bars in CA, GA, IL, MO, NE, NY, PA, and TX.  NRS IACCP and NASBA CPE continuing education credit are also available.


Virtual Compliance Workshops

The speakers will announce code words at various points during the session. Make a note of the session and the code words when you hear them. After the conference, log on to the CE attendance page and submit the code words. CE credit hours will be granted based on actual time logged on to the session. Please note that listening to a recorded session does not qualify for earning continuing education credit.

The deadline to submit the code words is Friday, October 21.


In-Person Compliance Workshops

Sign-in forms will be available at the workshop registration desk. Be sure to sign in and out as proof of your attendance. Your certificate will be emailed to you as soon as your state bar approves the workshop.


Types of Continuing Education

CLE Credit

CLE accreditation is pending in CA, GA, IL, MO, NE, NY, PA, and TX.

NH: The provider believes this course meets the requirement of NH Supreme Court Rule 53.

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 workshop has been approved for 3.5 hours of 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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