Important Guidelines for New National Registry Sponsors 

The National Registry team wants to ensure that all sponsors have clear guidelines on some of the most common questions and concerns that arise after the approval process. This article covers critical points for new sponsors regarding program submissions, not awarding retroactive credits, audience limitations, use of program recordings and important reminders related to your National Registry profile page. 

1. New Programs Not Listed in the Initial Application

New sponsors often ask whether they need to submit additional programs for review that were not included in the original list provided with their application. The answer is no - considering it is for the same delivery method. Approval is granted at the delivery method level for each provider, rather than course-by-course.

Upon approval, the expectation is that the same requirements demonstrated during the application process will be implemented to all other programs that are developed and offered to CPAs for CPE credit under your Registry membership. Therefore, if you were required to make modifications to documentation or the CPE program during the application process, those same modifications should be considered and implemented to all other programs offered under your Registry membership. Although sponsors do not have to submit new courses for review, appropriate records of all CPE programs offered must be retained.   

Additional Notes: 

• If your organization exceeds the number of programs in the program level in which it was originally approved, you must reach out to your account manager to request an upgrade. 

• If your organization would like to award CPE credits in a different delivery method, you must apply using the Additional Delivery Method application.  

2. Awarding Retroactive Credits for Past Programs Prohibited

We understand that some sponsors, especially those who are newly approved or still in the application process, would like to offer retroactive credits for programs they held before gaining approval. However, retroactive credit cannot be awarded for programs conducted before a sponsor's official approval date. Only programs conducted after the sponsor receives formal approval can be awarded for CPE credits. This policy ensures the integrity of programs by ensuring that all credits earned from approved sponsors meet the Standards. 

3. Providing CPE Credits to an Expanded Audience 

Another common misconception is that sponsors who apply with an internal program (for example, training developed for their organization’s employees) are then limited to providing credits only to that internal audience. Once a sponsor is approved, they are not restricted to the audience mentioned in their application. Sponsors may offer programs to external participants as well, provided that all programs comply with content and documentation requirements. If you plan to expand your offerings to external participants, review Standard No. 12 or reach out to your account manager regarding the additional information that must be included in promotional material  

4. Using Recordings of Programs for CPE Credit 

It is important to note that recorded programs cannot be used to award CPE credits unless specific criteria are met. For participants to receive credit for watching a recorded program, the following must be in place: 

• The session must be facilitated by a Subject Matter Expert (SME) who is present during the viewing of the recording. 

• The CPE credit for a recorded program, facilitated by a real time SME, will be equal to the CPE credits awarded to the original presentation. 

The live involvement of a SME ensures that participants have the opportunity to engage with the material, ask questions, and receive clarification, maintaining the integrity of the educational experience. 

5. Registry Profile Page Reminders 

We would like to remind all sponsors of a few housekeeping items regarding your Registry profile page: 

• Provider Zone Login: Remember to regularly check your Provider Zone by logging into your account. This platform allows you to provide information specific to your company.  This page allows attendees to confirm their National Registry status. You may also upload your course library as a way to promote your CPE programs. 

• Visit https://www.nasbaregistry.org/provider-zone-login 

• Adding New Contacts: If you have new team members who require access to your sponsor account or need to manage program submissions, please contact your National Registry Account Manager. Your Account Manager can add new contacts to your profile page to ensure they have appropriate access. 

Please note that a change of sponsor name or contact on your National Registry account requires submission of the Change of Contact Form, which will be reviewed/approved by your account manager. Maintaining an updated account with accurate contact information will help us communicate with your organization effectively and ensure that no important notices or deadlines are missed. 

We hope this clarifies some of the most frequently asked questions regarding program submissions, audience limitations, retroactive credits and use of program recordings. As always, our goal is to support sponsors in delivering high-quality continuing education while ensuring compliance with NASBA Standards. Should you have further questions, please feel free to reach out to your account manager, email cpe@nasba.org, or visit www.nasbaregistry.org for additional resources. 

October 2024