Approved IAR CE Courses

Upon completion of this self-study guide, financial professionals will be able to identify key ethical principles, fiduciary obligations, and regulatory requirements regarding disclosure of the firm’s conflicts of interest. Best practices for maintaining ethical standards in these areas are included in the course materials and real-life examples are provided. Participants will have a demonstrated increase in awareness and knowledge as measured by a post-course assessment. Real-world scenarios help illustrate ethical dilemmas and proper conduct. Mastery of these principles protects not only the client relationship but also the advisor’s professional reputation.

Upon completion of this self-study course, financial professionals will be able to identify key ethical principles, fiduciary obligations, and regulatory requirements when utilizing artificial intelligence in various capacities. Best practices for maintaining ethical standards in these areas are included in the course materials and real-life examples are provided. Participants will have a demonstrated increase in awareness and knowledge as measured by a post-course assessment. Real-world scenarios help illustrate ethical dilemmas and proper conduct. Mastery of these principles protects not only the client relationship but also the advisor’s professional reputation.

Upon completion of this self-study guide, financial professionals will be able to identify key ethical principles, fiduciary obligations, regulatory requirements under the SEC Marketing Rule, and best practices for maintaining ethical standards in public communications by using the course materials and real-life examples provided. They will have a demonstrated increase in awareness and knowledge as measured by a post-course assessment or self-evaluation. Real-world scenarios help illustrate ethical dilemmas and proper conduct. Mastery of these principles protects not only the client relationship but also the advisor’s professional reputation.

Digital Assets & Web3: Compliance Considerations for RIAs provides investment professionals with the tools to understand, evaluate, and navigate the rapidly evolving world of digital assets. Through the chapter Navigating Digital Assets & Crypto, the course explores the unique characteristics of cryptocurrencies and other Web3 products, their associated risks, and the regulatory considerations shaping their use in advisory practices. Participants will learn how to assess suitability, mitigate compliance challenges, and align recommendations with fiduciary responsibilities when working with digital asset investments. This course equips advisers with practical strategies to responsibly incorporate emerging technologies into client portfolios while maintaining regulatory and ethical standards.

Retirement Planning & Income Strategies for Today's Advisors prepares investment professionals to address the evolving needs of retirees while ensuring compliance with ethical and regulatory obligations. The course includes two chapters: Ethically Serving Senior & Vulnerable Investors, which focuses on recognizing risks such as diminished capacity, financial exploitation, and tailoring advice to meet fiduciary responsibilities; and Annual AML Update, which reinforces best practices for detecting, preventing, and reporting money laundering activities in retirement-focused investment strategies. Together, these modules provide participants with the knowledge to design appropriate retirement income solutions, protect vulnerable clients, and maintain compliance in today's complex regulatory environment.

This course examines how artificial intelligence is becoming part of financial services, creating new efficiencies but also new potential risks for investment adviser representatives. It explains how AI fits within the existing regulatory framework, including fiduciary duties, the Marketing Rule, the Books and Records Rule, and Regulation S-P - framed through the lens of ethical responsibilities. Through examples, enforcement cases, and professional guidance, you will see that while technology may evolve, your ethical duties do not: the standards of care, honest and transparent disclosure, and protection of client data remain constant and must guide your judgment in practice.

Upon completion of this self-study course, financial professionals will be able to identify key ethical principles, fiduciary obligations, and regulatory requirements when writing and reviewing advertising and marketing pieces to stay aligned with the SEC’s Marketing Rule. Best practices for maintaining ethical standards in these areas are included in the course materials and real-life examples are provided. Participants will have a demonstrated increase in awareness and knowledge as measured by a post-course assessment. Real-world scenarios help illustrate ethical dilemmas and proper conduct. Mastery of these principles protects not only the client relationship but also the advisor’s professional reputation.

In this continuing education session, we review two blog articles: How To Register And Remain Registered With The SEC As An Internet Investment Adviser and DoL's Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now About Giving Rollover Advice After Sept 23, 2024. In the first article, Chris Stanley explains the history of the Internet Adviser Exemption as a pathway to SEC registration and reviews the 2024 amendments to the rule. In the second article, Jacqueline Hummel reviews upcoming changes to the fiduciary standards for advisors providing investment advice to retirement investors under the final version of the Department of Labor's Retirement Security Rule.

Mutual funds have long served as one of the most accessible and popular investment vehicles for individual investors. For investment advisers'whether newly registered or seasoned professionals'they remain a central component in portfolio construction, risk management, and in helping clients achieve their goals. This study guide is designed to help investment advisers develop'and demonstrate'a deep understanding of mutual fund mechanics, expenses, and regulatory expectations. Whether you are just beginning your advisory career or seeking to strengthen your compliance program, this guide will provide:- A refresher on mutual fund structures and terminology- A breakdown of share classes, costs, and fee arrangements- Guidance on aligning fund selection with fiduciary obligations- Real-world case studies and enforcement examples- Tools to document and disclose fund recommendations properly

This two-hour ethics program, led by RIA lawyer Richard Chen, examines the ethical, regulatory, and supervisory risks arising from the use of artificial intelligence (AI) tools in advisory practice. Investment adviser representatives will explore how commonly used AI applications—such as large language models, AI meeting notetakers, and content-generation tools—can create heightened risks related to client confidentiality, accuracy of advice, marketing compliance, and recordkeeping.
Through practical examples and realistic case studies, participants will evaluate how improper AI use may lead to violations of fiduciary duty, Regulation S-P obligations, advertising standards, and books-and-records requirements. The course emphasizes the ethical responsibility of advisors to understand, supervise, and critically evaluate AI-generated outputs, reinforcing that human judgment and professional oversight remain essential when integrating AI into client-facing activities.