Approved IAR CE Courses

This program is designed to help Investment Adviser Representatives (IARs) and compliance professionals understand and navigate the SEC's FY2025 examination priorities while strengthening their compliance strategies. Led by a securities attorney, this session will provide an in-depth analysis of the most common compliance deficiencies, practical applications of regulatory requirements, and proactive steps to avoid enforcement actions.The program covers key topics such as the SEC's role and examination objectives, fiduciary obligations, disclosure and transparency requirements, compliance program best practices, custody rule compliance, and risk management strategies. Participants will gain actionable insights into preparing for an SEC examination, maintaining robust compliance programs, and implementing effective internal controls to reduce regulatory risk.Through real-world examples, case studies, and interactive discussions, attendees will leave with a clear understanding of how to strengthen their compliance posture, enhance disclosures, and mitigate risks in an increasingly complex regulatory environment.

In this course, you will learn about your compliance obligations surrounding Regulation Best Interest (Reg BI), including disclosure, conflict of interest, care obligations, and the consequences of failure to comply.

Client review meetings are one of the most powerful and underleveraged opportunities in a financial advisor's practice to demonstrate ongoing value, deepen relationships, and advance long-term financial plans. Yet without a clear framework, it's easy to default to routine investment updates and miss the opportunity to showcase the true depth of planning expertise. This common gap can leave clients undervaluing their advisor's services, slow the momentum of important planning recommendations, and make review meetings feel more transactional than transformational. This course gives financial advisors a practical, step-by-step approach to planning and leading client review meetings with confidence and intention. Advisors will learn how to build planning-centered agendas that go well beyond portfolio performance, prepare for and present common planning topics in ways clients actually understand, and facilitate conversations that build trust and inspire action. Through real-world examples and application-based learning, participants will develop the skills to walk into every review meeting prepared, professional, and ready to conduct planning-centered conversations that move clients forward and create the foundation for successful long-term financial plans.

This course offers a comprehensive examination of conflicts of interest specifically tailored for investment advisor representatives, emphasizing their identification, disclosure, and management to ensure adherence to ethical and regulatory standards. Through detailed exploration of various types of conflicts, including actual, potential, and perceived, the course provides real-world examples and scenarios commonly encountered in investment advisory practices. It covers the relevant regulatory frameworks and ethical codes of conduct, supplemented by interactive quizzes and case studies that reinforce learning and application in professional settings. The curriculum also includes best practices for transparent communication and the roles of compliance departments and ethics officers in mitigating conflicts. This structured educational approach is designed to enhance advisors' ability to maintain trust with clients while navigating complex ethical landscapes.

Completing continuing education is both a professional responsibility and an ethical imperative for investment adviser representatives. This course helps IARs understand why continuing education requirements exist, why it is an ethical obligation to remain up-to-date on industry knowledge, and how the system of continuing education laid out in the Model Rule on Continuing Education for Investment Adviser Representatives provides a framework for fulfilling this obligation. This coursealso covers the expectations for IAs and IARs regarding compliance and recordkeeping, statevariations in continuing education requirements, and how engaging constructively with continuingeducation benefits clients.