Approved IAR CE Courses

In times of market and economic uncertainty, the guidance you provide to clients and prospects is more important than ever. With markets experiencing their first meaningful pullback of 2026, investors may have questions about how the war in Iran, high oil prices, and other economic concerns affect their financial plans.
In this webinar, James Liu, CFA, founder and CEO of Clearnomics, will walk through timely insights, charts, and talking points that address clients’ the most common concerns. The session focuses on helping advisors provide clear perspectives that frame current developments in a historical context, reinforce the value of planning and discipline, and demonstrate to clients why well-constructed portfolios and financial plans are designed to navigate these situations.

Medicare Open Enrollment is on the horizon, and so is a flood of TV commercials informing clients about their best Medicare Advantage options. However, Medicare Advantage commercials do not inform clients about all of their Medicare options or of key details they need to be aware of to avoid costly coverage gaps and penalties. In this webinar, Elaine Floyd examines 10 common Medicare mistakes that advisors can help clients avoid. She explains critical enrollment considerations involving Medicare Parts A and B, Medigap, COBRA, employer insurance, health savings accounts, and Part D prescription drug plans.
Elaine also discusses how Medicare Advantage plan restrictions, IRMAA surcharges, and a spouse’s insurance needs can affect retirement planning decisions. Through practical case studies, she demonstrates how advisors can help clients compare coverage options, coordinate enrollment deadlines, and anticipate both current and future healthcare needs.

When speaking with clients about the legacy they want to create with their remaining assets at death, there are 3 basic options. They can leave their money to their family, the government via taxes, or charity. For most clients, leaving a legacy of tax payments is not the plan, creating the necessity for the optimization of gifting during life. For clients with charitable intentions, Dr. Russell James gives a masterclass on his top 10 rules for charitable planning for clients. Starting with his number one rule of never donating cash and delving into more advanced charitable giving strategies such as charitable swapping, using retained life estate deeds, and creating charitable trusts. He further explains ways to utilize charitable planning to offset income-producing events, such as required minimum distributions and Roth conversions. The presentation concludes with ideas of how charitable planning can help maintain wealth for multiple generations, furthering the impact a client's legacy can have while avoiding some of the potential pitfalls of inheritance.

In this continuing education session, learners will review 2 Nerd Eye's View articles: Using A 1035 Exchange To Turn An Unneeded Life Insurance Policy Into An Annuity and How Employer Roth Contributions To Solo 401(k) Plans Reduce The QBI Deduction (And Increase Taxes) For Self-Employed Workers. In the first article, Ben Henry-Moreland explains the options clients have to address permanent life insurance policies that are no longer needed and the various tax implications of those options. In this article, Ben also walks through how to execute a 1035 exchange into an annuity, providing details on the advantages of this option, when it may make sense for a client, and how to avoid 'boot' and taxation of withdrawals before 1035 exchanges. In the second article, Ben explains the impacts of pre-tax and Roth contributions to solo 401(k)s on Section 199A deductions. Ben highlights how business owners can utilize a variety of contribution types, such as employee elective deferrals, employer contributions, and after-tax contributions, to avoid the negative consequences of making Roth employer contributions.

This two-credit class self-study was originally delivered as a live 1-credit webinar on August 12, 2026. Delivering the content as a document optimized for CE (DOCE®) doubled its credit value, illustrating how a DOCE® doubles credits earned on live webinars for professionals while providing a deeper learning experience. The 2-credit reading-based self-study class helps IARs, CFP® professionals, and CPA financial advice professionals explain August 2026 economic, market, and investment strategy to clients. The class connects geopolitical and oil risk, real-time economic indicators, household wealth and demographics, liquidity, productivity, market volatility, earnings, valuations, bond yields, Federal Reserve policy, and inflation to practical advisory conversations.

Participants learn to distinguish durable signals from headlines, frame data and forecasts without overstating certainty, and support disciplined portfolio and planning decisions.

Learning Objectives

At this class, you learn to:

Evaluate Geopolitical Market Effects. Distinguish temporary conflict shocks from recession-driven bear markets.

Assess Current Economic Momentum. Combine business surveys, housing, autos, and retail data.

Interpret Employment Supply Constraints. Relate participation, immigration, openings, and payroll growth.

Explain Wealth-Driven Consumer Spending. Assess how accumulated assets support continued household spending.

Differentiate Monetary And Fiscal Liquidity. Contrast quantitative easing with direct fiscal transfers.

Apply Historical Equity Context. Use compounding and logarithmic charts to interpret returns.

Evaluate Earnings-Supported Valuations. Compare forward multiples with projected earnings growth.

Analyze Federal Reserve Positioning. Connect growth, inflation forecasts, rates, and yield curve.

Plan For Fiscal Adjustments. Incorporate debt, entitlements, and potential payroll-tax increases.

Communicate Market Uncertainty. Balance durable growth expectations with unforeseen economic shocks.

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.

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.

Kansas Department of Insurance, Securities Division will address issues at the forefront of IAR interests and emerging trends in the securities industry.