Approved IAR CE Courses

During this session, the presenter, a senior portfolio specialist, will provide a 2026 economic and market outlook. The presenter will also share research on the growth of AI as a megatrend and the impact AI can have on the economy and the markets. You will also hear her view on the Federal Reserve, fixed income, and equities markets.

This session provides attendees with a practical introduction to employee stock ownership plans (ESOPs) as shareholder liquidity, diversification, and succession planning tools. We'll explore how leveraged ESOPs function, where they fit relative to traditional transition alternatives, and the tax, valuation, and cash‑flow implications for all stakeholders. In addition, a real‑world case study will highlight the applicability of these unique business transition strategies and the design considerations behind them. Advisors will gain a working understanding of ESOP mechanics, common structures (including partial ESOPs), and the circumstances under which an ESOP may align with a client’s long‑term planning, legacy, and risk‑management objectives.

CFP Board's Code of Ethics and Standards of Conduct course reflects the commitment that all CFP' professionals make to high standards of competency and ethics. CFP Board's Code and Standards benefits and protects the public, provides standards for delivering financial planning, and advances financial planning as a distinct and valuable profession. A CFP' professional must complete this Ethics course every two years to help ensure that they understand the requirement to:1. Act with honesty, integrity, competence, and diligence.2. Act in the client's best interests.3. Exercise due care.4. Avoid or disclose and manage conflicts of interest.5. Maintain the confidentiality and protect the privacy of client information.6. Act in a manner that reflects positively on the financial planning profession and CFP' certification.

When clients begin looking outside U.S. borders for investments, vacation properties, or new residences and citizenships, their U.S. financial advisors can help protect them from missteps. In this session, we will review things to think about when a U.S. person resides in the U.S. but owns foreign property, and when a U.S. person decides to live outside the U.S. Whatever course the client charts, there are many ways to navigate a clear path forward.

This program will examine the SEC's Investment Adviser Marketing Rule (Rule 206(4)-1), including identifying and interpreting core provisions. The presenter will cover how to evaluate and implement compliance best practices in terms of real-world marketing scenarios. Attendees will learn to recognize common Marketing Rule violations, to understand how to avoid similar violations in their own firm's marketing strategies.

This course prepares advisers to anticipate and respond to client incapacity and diminished financial capacity. Using case studies and the CFP Board’s planning-for-incapacity guidance, participants examine proactive aging planning, trusted contacts, powers of attorney, fiduciary and confidentiality duties, warning signs of financial exploitation, and practical processes for protecting clients while preserving autonomy.

Your job is too important to rest on AI hallucinations or incomplete answers. This session covers what it takes to trust AI's output for both client data and outside research. Attendees will learn to prepare data before AI reads it as clean, structured, and in context. To help meet regulatory expectations, advisors will learn to judge the reliability of any dataset or source before trusting what AI says about it. They'll also see why AI errors are so hard to catch: wrong answers arrive just as polished and confident as right ones.

The fix comes from the audit world — black-box testing: validating a system without knowing how it works inside. Regulatory expectations around AI-assisted work are rising, and this diligence is how you meet them. Attendees leave with a methodology: how to prepare data, how to assess reliability, and how to design their own tests for AI output. That way you can spot red flags and fix them before they impact your operations, raise compliance concerns, or worse still, reach a client.