Approved IAR CE Courses

Adding retirement plan business to your practice can help you retain assets, stabilize investment flows and increase ancillary sales. This session will help you navigate the critical decision of whether to incorporate 401(k) plan services into your practice or partner with retirement specialists. This session will equip you with essential knowledge of retirement plan options, vendor relationships, and a tested service delivery framework to make the right strategic choice for your business and clients.

This course, "5 Slides To Show Retirees Amid Heightened Fears" provides financial professionals with a data-driven approach to guiding retirees through investment decisions using historical market performance. By the end of this class, professionals are equipped with evidence-based strategies to help retirees maintain financial security and confidence in their portfolios. It explores the impact of different asset allocations (40/60, 60/40, and 80/20) on long-term returns, sequence of returns risk, and portfolio sustainability. Participants learn how persistence and emotional durability influence investment success, why controlling costs is critical, and how to stress-test future market conditions for clients. The course emphasizes key insights such as the importance of diversification, the historical resilience of balanced portfolios, and the effectiveness of structured withdrawal strategies.

This course provides investment adviser representatives with a foundational understanding of mutual fund structures, strategies, and selection processes. It emphasizes ethical responsibilities, regulatory obligations, and due diligence practices necessary to offer client-centered mutual fund recommendations.

This course examines the differences between brokerage accounts and advisory accounts, including their fee structures, services, and management styles. Because of the many differences in accounts, emphasis will be placed on the importance of providing investors with full and fair disclosure regarding any potential conflicts of interest. The course will also examine the provision of Reg BI and describe the ethical principles related to account recommendations, including prioritizing the best interests of clients over the incentives of financial firms and their associated persons.

This course presentation outlines the fundamentals and applications of structured notes in investment portfolios. It will be discussing types of income and downside protection strategies. The purpose is to educate financial advisors and investors on leveraging structured notes to diversify portfolios, generate income, and mitigate risks.

This course will examine investment funds, but more specifically, the focus is on actively managed exchange-traded funds (ETFs). In addition to learning about the strucuture of ETFs and investment objectives of actively managed ETFs, details will be provided as to how actively managed ETFs developed over history. The course's final sectione will review the specific parts of U.S. securities laws that apply to actively managed ETFs.