Approved IAR CE Courses

In November 2022, the U.S. Securities & Exchange Commission passed Rule 206(4)-1, whichmerged the former Advertisement Rule from 1961 and the former Solicitor Rule from 1979. Thespeakers will discuss the important components and requirements when allowing Testimonials &Endorsements as they relate to investment adviser firms. Participants will gain an understanding ofhow to implement effective policies and procedures and what steps should be taken to supervise,train and monitor such Testimonials & Endorsements.

This is a continuing education course that covers all aspects of Individual Retirement Accounts. The course is designed to help the financial advisor or insurance professional benefit the client with more in-depth information concerning the history and specific types of IRAs; investing; protections; estate planning; and education.

The Advisor's Guide to Social Insurance Programs is an educational tool to help advisors through the maze of programs, rules and regulations that affect many if not all their aging Baby Boomer clients, their spouses, and dependents. The course is broken down into three sections to give the advisor an understanding of the various benefits of the Social Security, Medicare, and Medicaid programs.

This course has been developed to enhance the Advisor’s 401(k) knowledge and provide updates on the most recent 401(k) plan guidance. With recent tax law changes, Department of Labor requirements and court settlements, this course extends beyond the basics to cover special 401(k) testing rules and design options, as well as, ERISA and fiduciary responsibilities of the “parties of interest.”

As private credit continues to evolve, secondaries are emerging as a differentiated way to access the asset class. In this webcast, experts will discuss the growing role private credit secondaries play in today’s market, how they differ from traditional direct lending strategies, and why they represent a compelling opportunity for client portfolios. They will provide practical insights into private credit market dynamics and the potential benefits of a secondaries-focused approach.
Learning Objective: Advisors will learn about private credit and direct lending and how they compare with traditional fixed income exposures, why the private credit secondaries market exists and the potential benefits secondaries provide with discounted entry points, enhanced visibility, and risk mitigation, and gain practical guidance on how advisors are using private credit secondaries to optimize client portfolios.

This course provides an overview of the SEC's Compliance Program Rule for investment advisers.It is this rule that requires investment advisers to have a compliance program ensuring that thefirm and its supervised individuals are compliant with the SEC's other rules and regulations. Thecourse covers the purpose of the rule and associated historical background information, as well asthe SEC statutory authority underlying the rule. Much of the course focuses on the three mainrequirements of the rule: that an investment adviser have written policies and procedures reasonably designed to prevent violations; that compliance be verified with annual reviews; andthat the investment adviser designate an individual to oversee compliance, often referred to as thechief compliance officer (CCO). Key compliance areas to be covered by the compliance systemare also discussed, along with documentation and recordkeeping. The course covers best practices, examination/enforcement by the SEC, and recent developments in enforcement withexamples.

This program examines the portfolio-construction case for moving commodities from a token position toward a meaningful strategic sleeve. Dan Cole will review why the traditional stock-bond diversifier has become less reliable in inflationary and supply-shock regimes, and how five structural forces - de-dollarization, diversification needs, deficits, deglobalization, and electrification - can increase the portfolio utility of real assets.
The discussion emphasizes that the objective is not to forecast commodity prices, but to define a durable portfolio role, size the sleeve by expected risk contribution, and establish funding and rebalancing rules before the next shock. Attendees will also evaluate how the Quantix Commodity Index (QCI) and Harbor Commodity All-Weather Strategy ETF (HGER) implement this portfolio role through inflation sensitivity, roll-aware construction, diversification controls, and dynamic gold tilts.