Approved IAR CE Courses

This course is designed to help investment adviser representatives, supervisory principals, compliance professionals, and firm executives understand the duty of care of an investment adviser registered with the U.S. Securities and Exchange Commission ("SEC") as relates to providing investment advice and recommendations. The speaker will review the components of the duty of care and specific examples of what constitutes failure to exercise duty of care.

This course provides a comprehensive understanding of the fiduciary duty standards under the Investment Advisers Act of 1940 as they apply to the sale of fixed indexed annuities. Participants will learn to identify and assess conflicts of interest when an Investment Adviser Representative (IAR) is dually licensed as an insurance agent, analyze the SEC's arguments and jury findings in the SEC v. Cutter case, and recognize regulatory limitations on switching between fiduciary and non-fiduciary roles. The course also covers best practices for mitigating legal and regulatory risks, drafting compliant client disclosures, and establishing firm-wide procedures for supervising IARs selling insurance products.

This course equips investment adviser representatives, compliance staff, and senior executives with a practical understanding of the SECs 2024 amendments to Regulation S-P, which expand requirements for safeguarding customer information and managing cybersecurity risks. Participants will learn how to implement incident response programs, meet new customer-notification rules, and comply with national-security delay provisions. The course also addresses service-provider oversight, disposal of customer information, and updated privacy notice requirements, translating regulatory mandates into actionable steps for advisory firms. While focused on SEC-registered advisers, the content highlights broader fiduciary expectations and aims to strengthen operational risk management and customer data protection.ormation.

This IAR Continuing Education course provides an overview of the SEC's Rule 206(4)-5, commonly referred to as the "Pay-to-Play" rule. Designed for investment adviser representatives, the course delves into the rule's origins, key provisions, and its critical role in preventing unethical practices within the industry. Attendees will gain practical insights into how to comply with the rule, update internal policies, and avoid the severe penalties associated with violations.

This one-hour course is designed for individuals who are involved in preparing, maintaining and/or testing an investment adviser's privacy policy and information security policies and procedures. This course will delve into the recent amendments to SEC Regulation S-P including the specific requirements of the incident response plan, the mandatory customer notification obligation, due diligence of service providers and exception to the annual delivery of the privacy notice.

This one-hour compliance webinar and continuing education course for investment adviser representatives will explore the SEC's recent guidance and enforcement actions under the new Marketing Rule (SEC Rule 206(4)-1). The session will review the key provisions of the Marketing Rule, highlight the SEC's recent enforcement actions, and address common compliance challenges faced by investment advisers. We will also discuss best practices for implementing compliant marketing strategies, identifying potential pitfalls, and ensuring adherence to the SEC's evolving regulatory expectations. The course will review numerous SEC enforcement actions and guidance from the SEC's Division of Examination to help participants understand the rule's practical application and associated risks. The session will conclude with a Q&A section to address participant-specific concerns.