Approved IAR CE Courses

The compliance regulations that RIAs are subject to can and do evolve over time, as markets and platforms change, and regulators update their own rules accordingly. In this session, compliance attorney Chris Stanley will address the latest changes in regulations for RIAs and their IARs, covering five critical topics: FinCEN Beneficial Ownership Reporting, FTC Non-Competes, SEC Marketing Rule Enforcement Actions, Custody Rule Triggers and Reporting, and the SEC's Reg S-P Rule Amendments, to help financial advisors ensure they stay compliant with the evolving regulatory landscape.

Ethics CE: A Practical Application of CFP Board's Code and Standards fulfills the two-hour requirement for CFP Board-approved Ethics CE. The program is designed to educate CFP professionals on CFP Board's current Code of Ethics and Standards of Conduct, which went into effect on July 1, 2024.

This course provides investment adviser representatives, CFPs, CPAs, and other financial planners with timely insights into Federal Reserve policy, U.S. economic growth, and stock market fundamentals. Using September 2025 data, Fritz Meyer analyzes weak job formation, construction spending, and inflation trends alongside stronger retail sales, household net worth, and GDP forecasts. Attendees learn how earnings estimates, valuation ratios, and record stock prices shape long-term portfolio strategy in light of global economic challenges. The session integrates key slides, transcript highlights, and interactive MCQs to reinforce understanding of core learning objectives. By the end, participants gain practical, research-based knowledge to strengthen economic outlooks, client communication, and portfolio decision-making in a fee-only business model.

Charitable giving isn't just about generosity'it's a powerful tool for financial and estate planning. This session explores a range of strategic charitable giving options, from annual gifting and Qualified Charitable Distributions (QCDs) to more sophisticated vehicles like Charitable Gift Annuities, Charitable Remainder Trusts, Charitable Lead Trusts, Donor-Advised Funds, and Family Foundations. Learn how to help clients maximize their philanthropic impact while optimizing tax benefits, preserving wealth, and creating lasting legacies.

In this captivating conversation, Brian Portnoy and Neil Bage engage with Dr. Chantel Prat, a distinguished cognitive neuroscientist, to explore the intricacies of human behavior and decision-making through the lens of neuroscience. Delving into Dr. Prat's research, they uncover profound insights into how our brains process information, learn, and navigate the world around us. Dr. Prat elucidates the concept of "carrot and stick" learning, revealing how our brains are wired to respond to rewards and setbacks. They discuss the role of curiosity in driving learning and the importance of creating psychological safety to foster curiosity and mitigate anxiety. The conversation also touches on the significance of empathy and understanding others' perspectives, highlighting the role of mirror neurons and theory of mind. Through engaging dialogue and practical examples, they provide valuable insights into harnessing neuroscience principles to enhance decision-making, learning, and interpersonal connections.

In this engaging conversation between financial experts Christine Benz and Brian Portnoy, several key topics are explored. They delve into the prevalent issue of underspending among retirees, highlighting the surprising trend of individuals hesitating to enjoy their wealth. The conversation also touches upon the reluctance of many to invest in annuities despite their potential benefits, attributing this to a complex landscape of products and a fixation on portfolio high-water marks. Benz shares insights from her thought-provoking piece, "Real Luxury Goods Don't Have Brand Names," emphasizing the importance of finding fulfillment beyond material possessions. The dialogue underscores the value of simplicity in financial planning, with both speakers advocating for advisors to prioritize clarity and ease of understanding for their clients. Overall, the conversation offers valuable insights into behavioral finance, retirement planning, and the pursuit of a meaningful life beyond financial accumulation.

In their insightful conversation, Daniel Crosby and Brian Portnoy delve into the essence of human-first advice in financial planning. They stress the importance of framing conversations in a client-centric manner, steering away from intimidating jargon and instead focusing on what truly matters to the individual. Crosby highlights a poignant moment from a recent podcast episode, emphasizing the power of empathy and simple language in connecting with clients on a deeper level. Portnoy echoes this sentiment, emphasizing the value of meaningful conversations and understanding clients' unique needs and aspirations. Their discussion also touches on the enriching experiences gained from their podcast, Standard Deviations, where they engage with experts and learn invaluable lessons beyond traditional reading. Overall, their exchange underscores the transformative potential of adopting a human-first approach in financial advising, ultimately enhancing client relationships and outcomes.

The conversation between Gene Natali and Brian Portnoy revolves around the theme of financial empowerment, spanning from parenting advice to the role of financial advisors in modernizing their approach. Gene emphasizes the importance of parents opening investment accounts for their children, instilling financial awareness early on. He shares a personal anecdote of engaging a 15-year-old in discussions about investing and retirement planning, highlighting the significance of starting young. Brian expands on the role of financial advisors, urging them to incorporate discussions about youth financial empowerment into their practice. He emphasizes the need for advisors to be visible and engage with the younger generation, ensuring they understand the dynamics of managing money effectively. The conversation underscores the necessity of empowering individuals across generations with financial knowledge and action.