Approved IAR CE Courses

This comprehensive continuing education course provides investment advisers with an in-depth examination of ethical principles, fiduciary responsibilities, and regulatory compliance requirements governing the investment advisory profession. The course explores the foundational concepts of investment adviser ethics established under the Investment Advisers Act of 1940 and their practical application in modern advisory practice.Participants will develop a thorough understanding of fiduciary duty requirements, including the duty of loyalty and duty of care, and learn to identify, disclose, and manage conflicts of interest effectively. The course emphasizes practical application through real-world scenarios, case studies, and current regulatory enforcement trends. Special attention is given to emerging challenges in the digital age, including technology considerations, cybersecurity requirements, and evolving client communication standards.

This 9750-word document optimized for continuing education (DOCE®) analyzes the SEC proposal for semiannual reporting, giving perspective to investment fiduciaries. It explains how Form 10-S could change public-company disclosure cadence. Learners review comment-file findings, including 479 opposing letters and 10 supportive letters. The class connects the rulemaking to fiduciary monitoring by portfolio managers and investment advisers to retail and institutional investors as well as retail investors, and members of investment clubs. The proposal would create information gaps that heighten investment risk and increase opacity of public companies, making its potential adoption an urgent and important topic for fiduciaries to alert clients about. It gives fiduciaries practical tools for client conversations, committee discussions, community outreach and fiduciary advocacy.

This educational program, led by compliance lawyer Michelle Atlas-Quinn, provides a comprehensiveguide for understanding and addressing critical compliance issues. The program is structured into four parts: Understanding SEC and NASAA Examinations, Key Compliance Deficiencies, Practical Compliance Strategies and practical strategies for implementing effective compliance controls.Overall, the program aims to equip Investment Adviser Representatives with the necessary knowledge and tools to navigate and adhere to compliance requirements effectively.

Financial advisors will inevitably work with clients facing turbulence related to their finances, whether it is a personal job loss or stress about a market downturn. In these situations, financial advisors might attempt to act as rationally as possible and encourage their clients to do the same. However, because the human brain is not wired to move between stress and rationality quickly, such an approach could backfire, and the client could feel as though their concerns are not being heard by their advisor.At this Kitces Monthly Webinar, join licensed clinical psychologist Barbara Kay as she discusses the neuroscience of anxiety, techniques advisors can use to communicate with a client facing stress, and potential pitfalls to avoid when working with clients during turbulent times.

Virtually everything we say or do communicates some message. Therefore, communication with the public must be understood as more than just letters and telephone calls, but also as newspaper and magazine advertisements, commercials on television and radio, as well as signs, billboards, circulars, and much more. In short, we must understand all the many different ways that information can be communicated from one person or group to another. To help agents in this understanding, Communications with the Public examines, in detail, the rules and regulations that registered representatives must abide by when communicating with customers. Every method used to interact with customers, whether they are form letters, research reports, telephone recordings, or telemarketing scripts, is subject to specific rules that govern communications with the public.

Today’s panel brings together leaders from three local community foundations—Omaha Community Foundation, Nebraska Community Foundation, and Lincoln Community Foundation—to explore how philanthropy is evolving in our communities. Our conversation will focus on three key areas:
● Supporting Our Communities Through Policy and Funding Changes
● Engaging the Next Generation of Donors
● Looking Ahead – The Future of Philanthropy

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).