Approved IAR CE Courses

The Presenters review the ins and outs of advisers' compliance calendar - including email/social media review, best execution review, gifts and gratuities logging, and other compliance tasks.

This course provides investment adviser representatives with the ethical principles, regulatory knowledge, and practical skills that are required to uphold a fiduciary standard in every client interaction. Through modules on foundational ethics, SEC and state regulations, communication and disclosure techniques, conflict management, decision-making frameworks, and information-protection best practices, readers will progressively build the competencies needed to establish transparency and trust. Case studies are provided throughout the course to translate theory into real-world application. Readers will be prepared to identify fiduciary duties, manage conflicts, safeguard client data, and design firm policies that support consistent, client-first advisory practices.

In this continuing education session, learners will review 2 Nerd's Eye View articles: Business Buy-Sell Agreements In The Wake of Connelly V. IRS: Ensuring Clients' Business Succession Plans Don't Create Future Estate Tax Issues and Gifting Without The Headache: Tax-Efficient Strategies To Stay Under Gift Reporting Limits. In the first article, advisors will review the mechanics of buy-sell agreements, including the pros and cons of cross-purchase versus entity-purchase agreements, and then delve into the impacts of the Supreme Court's decisions in Connelly V. IRS. In the second article, David Haughton, JD, CPWA' provides an overview of gifting, including what gifts result in taxation or the necessity of gift tax reporting. Strategies to structure gifts to not use the lifetime gift and estate tax exemption or the annual exclusion are also discussed.

This course is about business continuity planning. Additionally, this course investigates theorigins of business continuity planning and the historical events that helped shape business continuity planning. It then uses these events as a lens to understand better the importance of having a business continuity plan (BCP) and the regulations relevant to BCPs. Additionally, this course covers regulatory guidance relevant to creating a business continuity plan (BCP). Finally, it describes the process of succession planning and why it is important to business continuity planning.

This course provides an ethical model for investment adviser representatives (IARs) basedupon government legislation, self-regulatory rules organization (SRO) rules, and regulatorybest practices. It includes an introduction to ethical theory, ethics, and conflicts of interest withinthe securities industry, and current ethical issues in the marketplace. This course focuses on anIAR's requirements acting in a fiduciary capacity and provides examples on how that can beseen in practice. The course offers possible motivations for "white collar" crime and detailssteps to take when struggling with ethical dilemmas. The course concludes with a review of common unethical business practices presented to IARs and how to mitigate them.