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NASAA Investment Adviser Representative CE Requirements

April 26, 2022 from 1:00 PM to 2:00 PM (ET)

The North American Securities Administrators Association (NASAA) has adopted a model rule to require continuing education for investment adviser representatives, which has already been implemented in several states. IAA Associate General Counsel William Nelson will moderate a webinar with NASAA staff to discuss the new requirements and how they will impact the IAA’s members and their staff. Specifically, the webinar will cover:

  • An introduction to NASAA
  • How the NASAA IAR CE program works
  • An overview of IAR CE requirements
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For questions regarding this webinar, contact the IAA at (202) 293-4222 or email at

Webinar Speakers

Vince Martinez is the General Counsel of NASAA. Prior to joining NASAA, he was a partner in the Washington, DC, office of K&L Gates LLP, where he worked in the firm’s investigations, enforcement, and white-collar practice group. Before joining K&L Gates, Martinez worked in the SEC’s Division of Enforcement, where he brought numerous antifraud actions against corporations and individuals. He also helped to establish and later became the chief of their Office of Market Intelligence (OMI). Before serving as the chief of OMI, he established the CFTC’s Whistleblower Office and served as its first director. Martinez began his career in private practice, working both as a corporate transactional attorney and a litigator in New York and Washington, DC.

Natasha Hurt is Senior Manager of Regulatory Services at NASAA. In this role, she serves as a resource to NASAA and its membership on CRD/IARD, Uniform Forms, NASAA qualification examinations, Investment Adviser Representative Continuing Education, and other NASAA regulatory initiatives. She also works with several NASAA committees, including: CRD/IARD Steering; CRD/IARD Forms and Process; Investment Adviser Representative Continuing Education; NEMO; and Exams Advisory. Prior to working for NASAA, Hurt was with the Florida Office of Financial Regulation, Division of Securities and held various roles within the Division’s Registration and Enforcement Bureaus. She graduated from Alice Lloyd College with a major in Business Administration and a minor in Accounting.

William Nelson is Associate General Counsel at the IAA. Previously, he was Assistant General Counsel and Public Policy Counsel at CFP Board and Chief Compliance Officer for Mercer Advisors. He has also held roles as an attorney with both the U.S. Departments of Justice and Veterans Affairs. Nelson has served as an Adjunct Professor at the University of Denver Sturm College of Law and George Washington University Law School. He received his undergraduate degree from the University of Tulsa, his J.D. with Honors from the University of Tulsa College of Law, and his LL.M. from the George Washington University Law School.

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