Approved IAR CE Courses

Upon completion of this self-study guide, Beyond the Basics: Compliance and Product Knowledge for Private Placements, IPOs, Hedge Funds, and Alternatives financial professionals will be able to identify key ethical principles, fiduciary obligations, and regulatory requirements for complex products such as private placements, IPOs, hedge funds and alternatives. The critical nature of these topics and their impact on clients and advisers if not handled correctly are included in the course materials and case studies that are provided. Financial professionals will have a demonstrated increase in awareness and knowledge as measured by a post-course assessment or self-evaluation. Real life enforcement actions and guidance provided by the SEC and FINRA illustrate ethical dilemmas and proper conduct. Mastery of these principles protects not only the client relationship but also the adviser's professional reputation.

The course will review the basics of option investments before reviewing complex positions. The course will explain how options can be used to supplement existing stock positons.Specifically, the course will review hedging a long stock position with long put options and alsoteach students how to generate income by selling call options against an existing stock position. Next, the course will describe the strategies of selling uncovered calls and ratio call writing. The strategy, breakeven, gains, and losses of straddles and combinations will also be examined.Different types of spreads will be introduced, with a focus on vertical spreads and how they can beused to speculate, but also limit both gains and losses. The final part of the course covers index options and options on the Volatility Index (VIX).

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.