Approved IAR CE Courses

This course provides an overview of recent regulatory developments and enforcement actions relevant to investment adviser representatives. It emphasizes ethical best practices and fiduciary responsibility in light of current trends and compliance expectations.

Do you want to know the areas that state examiners will focus on in their 2025 exams and how to be compliant? This course will discuss the Division's 2025 examination priorities, provide an in-depth analysis of common deficiencies and suggest ways to avoid them. This year's priorities are a non-exhaustive list of compliance matters based on commonly identified and/or high risk deficiencies revealed during examinations that the Staff plans to focus on. In the course, we will talk about core books and records requirements including written client suitability information, advisory contracts, fee invoices, firm financial statements and the IARCE requirements.

The purpose of the course is to provide investment adviser representatives with a comprehensive understanding of the latest key economic and market trends to inform their client strategies. The content covers critical topics, including the state of inflation and Federal Reserve policy, the resilience of the economy amidst consumer spending, GDP growth drivers, stock market earnings, valuation trends, and opportunities in construction and real estate sectors. Insights equip professionals with tools to assess economic data, identify market risks and opportunities, and align investment strategies with client goals. This is crucial for advisers to make informed decisions, navigate volatility, and guide clients toward sustainable financial outcomes in a dynamic economic environment.

2026 Ethics in Action is a 6-hour continuing education course designed to meet NASAAs ethics-related CE requirements while equipping Investment Advisor Representatives (IARs) with practical tools to navigate the complexities of modern financial advising. Through 27 comprehensive chapters, the course covers fiduciary responsibilities, transparency, cyber security, emerging technologies like blockchain and AI, ESG investing, and regulatory compliance. Participants will engage with real-world case studies, knowledge checks, and actionable strategies to build trust, manage risks, and adapt to evolving industry challenges. This course is ideal for IARs seeking to strengthen ethical decision-making, meet regulatory standards, and enhance client relationships, earning 6 CE credits upon completion to meet the Ethics CE requirement.

This course provides advisors with a comprehensive 2026 market outlook and strategies for navigating complex financial challenges. It explains the purpose and impact of current macro trends, including global election cycles, geopolitical events, and interest rate movements, on client portfolios. The content includes an in-depth review of emerging investment trends, such as the rapid growth of active ETFs, the application of artificial intelligence (AI), and cryptocurrency investments. Participants will learn top strategies to integrate these insights and trends into actionable financial advice to help clients meet their long-term financial goals.