Approved IAR CE Courses

U.S. Energy Development Corporation's Continuing Education course on oil & gas taxation is designed for financial advisors, covering the current oil & gas market landscape—including global supply/demand trends, geopolitical factors, and pricing history—before diving into the tax mechanics of drilling fund investments (intangible drilling costs, depletion, depreciation) and Qualified Opportunity Zones, then applying those concepts to real-world planning strategies such as offsetting W-2 income, RMDs, QBI deductions, and Roth conversions, with periodic knowledge-check breaks throughout.

We often hear from speakers on compliance topics. However, most never go through what the process is like from the advisor's perspective. The presenter of this session has been the subject of two standard SEC audits and will share real-life examples of what the process is like, essentially running though a mock audit for the attendees.Unlike traditional compliance presentations that focus on regulatory theory, this session will deliver a practitioner-led deep dive into the actual audit experience and draw from authentic case studies. Attendees will have the opportunity to have a hands-on approach to strategic considerations and practical challenges that define successful audit navigation. They will receive actionable frameworks for managing their own regulatory encounters with confidence and professionalism.

Understanding & Recommending Investment Products in a Changing Market equips investment professionals with the knowledge and skills to evaluate products and practices in today's evolving regulatory and market environment. The course is divided into three chapters: Reg BI Practical Applications, which focuses on applying the best interest standard when recommending products; Trading Practices for Investment Advisors, which covers effective, compliant, and client-focused trading strategies; and Insider Trading & Market Manipulation, which addresses the identification and avoidance of improper market conduct. Collectively, these modules provide participants with the practical tools to recommend products responsibly, maintain compliance with regulatory obligations, and uphold client trust in a dynamic marketplace.

The purpose of this course is to examine Internal Revenue Code (IRC) Section 1035 and the planning capabilities it requires. The course covers the basic tax treatment of life insurance and annuities, the purpose of Section 1035, the exchange rules of life insurance and annuities, the meaning of policy replacement, and the procedures for properly effecting a 1035 exchange.

This course is designed for financial professionals, advisors, and investors and delves into key alternative investments, including hedge funds, private equity, venture capital, real estate, commodities, cryptocurrencies, and structured products. Participants will gain a clear understanding of their unique characteristics, risk-return profiles, and role in portfolio diversification. This course highlights real-world applications to provide practical insights into successful strategies and potential pitfalls. Participants will explore the evolving legal landscape governing alternative investments and emphasizes the importance of due diligence, risk management, and aligning investments with financial goals.

This course prepares investment adviser representatives to analyze, recommend,
and monitor alternative investments as fiduciaries. It surveys the major
alternative asset classes and their return drivers and risks, then covers the
mechanics that distinguish alternatives from registered securities —
eligibility standards, offering exemptions, the subscription-to-exit
lifecycle, valuation of illiquid holdings, and layered fees — and turns that
product knowledge into practice through client-fit analysis, sponsor and
offering-document due diligence, and red-flag recognition in private
placements.

It is written for advisers whose clients are encountering private markets
through retail access vehicles, inherited holdings, or direct solicitation.
Content reflects federal law and regulatory posture as of mid-2026 and
distinguishes throughout between what is in force and what is proposed.

This course explains the ethical and regulatory obligations of financial professionals when recommending deferred variable annuities. It highlights FINRA Rule 2330, focusing on suitability, supervision, and disclosure requirements to ensure client-first decision-making.

Traditional IRAs, Roth IRAs, education IRAs, and medical savings accounts are the subject of this course. Learn how these savings vehicles can be used with employer-sponsored retirement plans and medical savings accounts as part of an overall personal financial strategy, for both retirement and pre-retirement savings.

Ponzi schemes have defrauded individuals for centuries, with the Madoff scheme highlighting their impact in 2008. This course helps financial professionals identify Ponzi schemes, offers guidance for assisting clients who have suffered losses, and discusses U.S. Tax Court cases where taxpayers seek to recover losses.