Approved IAR CE Courses

This course is designed to help investment adviser representatives, supervisory principals,compliance professionals, and firm executives understand several new areas of focus of the U.S.Securities and Exchange Commission ("SEC") related to use of digital tools. The speaker willdiscuss the SEC's previous guidance and recent enforcement action against an investment adviserfor its supervised persons who used unauthorized messaging apps for business. The course willreview regulatory issues and best practices related to the SEC's new Marketing Rule for aninvestment adviser which utilizes client testimonials or third-party endorsements as part of its onlinemarketing. Finally, the speaker will explore possible regulatory issues associated with certain usesof artificial intelligence and the SEC's proposed rule for investment advisers using predictive andartificial intelligence technology.

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.

This month we review October blog articles. This quiz includes the following articles: A Guide To Conducting And Documenting An Annual Compliance Review Under New SEC Amendment and Crafting An Annual Compliance Calendar For A (Solo) RIA: Staying On Top Of Compliance Tasks While Serving Clients.

In this session, advisors will gain a comprehensive understanding of the SEC Marketing Rule (Rule 206(4)-1) and how to apply it to create effective, compliant marketing strategies. Compliance experts Joseph Antonakakis and Jeffrey Lang with discuss the foundational aspects of the Marketing Rule, including its history, scope, and key changes from prior regulations. Additionally, advisors will learn how to navigate complex requirements surrounding testimonials, endorsements, third-party ratings, and rankings, while understanding the necessary disclosures, accuracy standards, and best practices for each. By the end of the session, advisors will be equipped with practical strategies for balancing compliance with creativity, enabling them to enhance their marketing efforts while adhering to regulatory expectations and upholding their ethical duty to prospects and clients.

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.