Approved IAR CE Courses

This course is intended for any financial advisors who already work with, or have plans to attract more business from, the youngest of the US working population - Millennials. They are a new breed of investors that require new methods of investing their money, different than the strategies used with their parents. Learning to understand millennials helps to understand their financial goals. This course prepares financial advisors to recognize and work with millennial clients the way they want to be worked with. It also discusses regulations surrounding social media and other off-channel communication platforms that millennials tend to navigate towards. Finally, the course walks through two important components that tend to come up frequently among millennial investors: cryptocurrency and ESG investing.

Introduction to the Six Steps of MedicareStep 3: Select specific plansAfter identifying the best Medicare path, the next step is to choose your plans. In its early days, Medicare was a 'one-size-fits-all' type of coverage. But no more. There are many (and for some, too many) coverage options available.Step 4: Enroll in MedicareYou might think there is only one way to enroll in Medicare. But, once again, that would be simple. How you enroll in Medicare depends on your timing and situation.Step 5: Enroll in PlansThen after enrolling in Part A and Part B, it's time to sign up for the specific plans. There is more than one way to do this.

This course will mainly focus on common stock; however, the other forms of equity securities willalso be described. This includes preferred stock rights and warrants. The different methods by which a company can raise capital will be described. Additionally, the rights and privileges ofowning equity securities will be covered.The different classifications of stock will be examined based on size or market capitalization, investment type (e.g., growth, defensive, cyclical), and investment style (e.g., value versus growth).Since equities are such an important part of an investor's portfolio, the different indexes that serveperformance benchmarks will be described. The reader will also be provided with a descriptionof how to formulate investment recommendations.

The course will examine the history of ERISA, the reason it was created, and the regulations that the act imposes on retirement plans. In doing so, the course will review the different types of retirement plans to which the regulation apply. The course will also discuss the Summary Plan Descriptions that have to be provided to plan participants and the Form 5500 reports that are required to be filed. This will conclude with how ERISA is enforced, some legislative changes that have occurred some that are pending, and the best practices for plan sponsors.

This course examines how environmental, social, and governance (ESG) considerations are transforming capital allocation and corporate conduct by providing a framework that extends beyond traditional financial metrics to evaluate organizational sustainability, ethics, and long-term value creation. Core definitions and materiality concepts are examined through detailed coverage of measurement methodologies, fiduciary duty, evolving regulations, and sector-specific case studies that spotlight both ESG success stories and high-profile failures. The focus is on enabling readers to recognize the importance of integrating ESG analysis into investment decisions, balancing short-term performance with long-term stewardship, and advising clients or organizations on strategies that align financial objectives with broader societal responsibilities.

The course will introduce environmental, social, and governance (ESG) investing. It will also outlineESG factors and what ESG investors look for when selecting investments, followed by a history of ESG investing. Included is a discussion of anti-ESG investing andlegislation designed to prevent using ESG investing in certain government investments. In the nextsection, the course will go over exisiting SEC disclosure rules. Students will learn how existing disclosure rules in the U.S. will impact ESG investors, including ESG funds. In the final section,the course covers an SEC rule proposal. Students will learn about how the proposal will impactboth ESG issuer and ESG funds.

This course will examine the basics of environmental, social, and governance (ESG) investing. To provide a rounded course, both the arguments made by ESG advocates and the arguments made by ESG critics will be included. The course will also analyze the SEC reporting requirements that apply to companies and how certain ESG-related disclosures can be found in Forms 10-K, 10-Q, and 8-K. The final section will describe the SEC's attempts to standardize ESG disclosures and the opposition to the proposed regulation.