CE procedures and records

Find rules and reporting procedures CE providers need to follow in order to ensure licensees can receive proper CE credit below.

Attendance register

Attendance registers (Excel, 22KB) are required for each lecture class. The instructor or monitor must maintain possession of the attendance register for the entire duration of the class. Attendees can't sign out until the class is completed.

Attendees can't sign in more than 10 minutes after the start of the class.

Save the attendance register for three years with your course records.

Submitting rosters

Rosters must be submitted electronically online within 10 days of course completion. Our online roster program will accept a late roster but repeated violations of the 10-day roster rule can result in an enforcement action.

Certificate of completion

A certificate of completion must be issued to each attendee within 10 days of completing the course. The instructor, class monitor or other person authorized by the provider can sign the certificates. The provider must keep a record of the people authorized to sign certificates on behalf of the provider. A certificate form can be requested by the provider's contact person. Email our education analyst to request a form and include your provider number.

Changing provider contact information

To change provider contact information, email our education analyst with the following information:

  • Provider number,
  • New contact name,
  • New contact address,
  • New contact phone number,
  • New contact email address, and
  • New contact fax number.

Ten-day notice of subsequent presentation

CE providers must send the OIC a notice at least 10 days before presenting an approved insurance CE course. The course notice should not be sent earlier than 60 days before the presentation. This notice is not a request for approval of the course presentation, so you will not receive a reply.

There is no specific form for this notice.

You may send the notice via email to our education analyst.

The course-presentation notice must include:

  1. Provider number,
  2. Course number,
  3. Date and time, and
  4. Location (address) of presentation.

If an approved CE course that has been scheduled for a presentation is cancelled for any reason, the provider must notify the OIC of the course-presentation cancellation via email.

Advertising a CE course

A course submitted for CE credit cannot be advertised prior to the course being approved by the OIC. Advertising a course before obtaining OIC course approval by indicating, "continuing education credit is pending," is not allowed.

A CE course advertisement must include all of the following:

  1. The insurance education provider's name, using the name registered with our office,
  2. The course title, as approved by our office,
  3. A brief description of the content of the course,
  4. The number of credit hours approved by our office,
  5. The location where the course will be held,
  6. The date and time the course will be presented, and
  7. The total cost of the course.

CE course records

Providers must keep all course and attendance or registration records for three years from the course-completion date.

CE providers must maintain the following records:

  1. Course application,
  2. Topic outline,
  3. Instructor résumé - if lecture,
  4. Course-approval letter,
  5. Attendance register - if lecture,
  6. Registration form and completed exam - if self-study,
  7. Certificate of completion, with course information and authorized signature,
  8. Course material and final exam - if self-study, and
  9. Course-presentation notice.

Updated 03/27/2014

See also

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