Investment Advisers: Continuing Education Deadline Reminder

FL OFR Industry Alerts

Published December 12th, 2024

Detected March 18th, 2026

Summary

The Florida Office of Financial Regulation (OFR) is reminding investment advisers' associated persons of the December 26, 2024, deadline to complete continuing education requirements. Credits must be reported by this date to maintain active registration status.

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What changed

The Florida Office of Financial Regulation (OFR) has issued an industry alert reminding associated persons of investment advisers about the December 26, 2024, deadline for completing their continuing education requirements. This deadline is critical for maintaining active registration status, as the Central Registration Depository (CRD) will close for the year on that date, and credits must be reported before January 2, 2025.

Associated persons must complete 12 continuing education credits annually, including six in Products and Practices and six in Ethics and Professional Responsibility, to maintain their Florida registration. Compliance officers should ensure all relevant personnel are aware of this deadline and have reported their completed credits to avoid issues with registration status. Further details on course requirements can be found via NASAA.

What to do next

Ensure all associated persons of investment advisers complete and report continuing education credits by December 26, 2024.
Verify that reported credits meet the annual requirement of 12 credits (6 Products/Practices, 6 Ethics/Professional Responsibility).

Source document (simplified)

Industry Alert: Continuing Education Requirement Deadline for Investment Advisers

12/12/2024

Tallahassee, Fla. – The Office of Financial Regulation (OFR) reminds the associated persons of investment advisers to complete your continuing education before December 26, 2024, to maintain their active registration status.

The Central Registration Depository (CRD) will close for the year on December 26, and individuals’ continuing education credits will be set based on the credits reported in the system at that time. All continuing education courses must be completed and reported before December 26 for the credits to be applied before January 2.

Associated persons of state-registered and federal-covered investment advisers who are registered or have been registered in the state of Florida, or a jurisdiction that requires continuing education, must complete a minimum of 12 continuing education credits to maintain their registration by December 31 of each year. The 12 credits must include six credits of Products and Practices courses and six credits of Ethics and Professional Responsibility courses.

For a full list of course requirements, please visit the North American Securities Administrators Association’s (NASAA) online Investment Adviser Representative Continuing Education section. You may contact them at IARCE@nasaa.org or (803) 734-9916 with questions.

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