Approved IAR CE Courses

This self-study continuing education course introduces investment adviser representatives to the foundational ethical and regulatory principles governing client privacy and data security. Designed for IARs new to the profession or those seeking a refresher on core concepts, the course frames privacy not as a technical compliance burden but as a pillar of the fiduciary relationship. Participants will learn why client confidentiality is foundational to investment advice, how Regulation S-P and related rules translate that ethical obligation into specific operating requirements, and what everyday behaviors protect — or compromise — client trust. The course uses scenarios drawn from common advisory settings to help participants recognize privacy risks before they become incidents.

This self-study continuing education course builds on the foundational principles of client privacy to address the ethical and operational complexities that experienced investment adviser representatives encounter in modern practice. The course examines the SEC's 2024 amendments to Regulation S-P — including the new incident response and customer notification requirements — and explores how ethical obligations evolve as advisory firms adopt cloud services, work with vendors, integrate artificial intelligence tools, and respond to cybersecurity incidents. Participants will analyze the ethical dimensions of vendor due diligence, examine the duties that arise when a privacy breach occurs, and apply judgment to ambiguous scenarios where regulatory requirements and ethical obligations diverge. The course assumes prior exposure to Regulation S-P fundamentals and is designed for IARs, compliance officers, and operations personnel with several years of advisory experience.

This course is designed to give investment advisers representatives a comprehensive command of closed-end funds (CEFs), showing how they differ from mutual funds and ETFs and why their fixed-capital, exchange-traded structure creates distinct opportunities and risks. From the legal foundations in the Investment Company Act of 1940 to the mechanics of IPO pricing and the premium-discount phenomenon, the course will explore the full life-cycle of a CEF, including specialized vehicles such as interval funds and business development companies. Detailed sections explain leverage, dividend policies, and fee structures, then tie these concepts to real-world market behavior so that IARs can analyze when CEFs trade at attractive discounts or justify persistent premiums. The course closes with an examination of the tax treatment and the suitability of account placement so that CEFs can be positioned suitably within client portfolios.

In an era of heightened market turbulence, this panel brings together leading Investment Officers from across the West Coast to uncover whats truly driving todays market dynamics. Panelists will share diverse perspectives on how investors can navigate hidden portfolio risks, identify potential shifts in traditional safe haven assets, and position clients for both protection and growth amid ongoing volatility. Attendees will gain actionable insights into managing downside exposure, capturing upside potential, and adapting investment strategies to a rapidly evolving global landscape.

This course, Code of Ethics and Professional Responsibility, acknowledges the elevated standards of conduct that are expected of Professionals. It explores and highlights the practical application of the important areas that are fundamental components of ethics. It acknowledges and includes examination of professional conduct, behavior, and sound practices in working with individual clients as well as adhering to high standards for the benefit of maintaining a positive and professional perception within the population as a whole. It also highlights ethical philosophy and everyday guidelines that are fundamental components of the ethical mission and objectives.
The material has been constructed to provide the aspiring, the newest, and the veteran insurance professional with a format for gaining new and renewed insight into this critical area for professional financial advisors as well as serving as a review of the current information and rules pertinent to this area of overall competency, professionalism and expertise.

This course will address Code of Ethics obligations and practical supervision of personal securities transactions and holdings reports. It will focus on compliance procedures, reporting obligations, ethical considerations, review practices, common risk areas and testing techniques for advisory firms.