Approved IAR CE Courses

This course provides investment adviser representatives with a practical and comprehensive overview of the SEC's Investment Adviser Marketing Rule. Participants will learn how the rule governs the use of testimonials, endorsements, and third-party ratings, along with performance advertising and hypothetical performance. The course highlights disclosure, oversight, and recordkeeping considerations, supported by real-world scenarios and recent enforcement examples. Designed for IARs in a variety of roles, this training focuses on actionable guidance to promote compliant, effective client communications. Upon completion, learners will be better equipped to avoid common pitfalls and support their firm's adherence to regulatory standards.

This course explores the transformative power of DEI within financial advisory firms, emphasizing its ethical implications and strategic advantages. Participants will gain a deeper understanding of how DEI principles foster innovation, enhance client relationships, and create equitable opportunities for employees. Through real-world case studies, actionable strategies, and regulatory insights, the course provides tools to integrate DEI into workplace cultures, client interactions, and long-term business strategies. This course empowers advisors, leaders, and compliance professionals to drive meaningful change, and position their firms as leaders in inclusivity and equity. By the end of the course, participants will be equipped with the knowledge and tools to create a more equitable financial ecosystem that benefits employees, clients, and the broader community

Regulation SP Amendments - Ethics and Privacy is a one-hour, self-paced course designed for Investment Advisory Representatives. You'll explore the evolution of the Regulation S-P and the 'Safeguards Rule,' learn to recognize sensitive customer information, and assess its risk potential. Through real-world scenarios, you'll master a three-step breach response framework - recognize, escalate, notify - and develop client-focused communication strategies. The course then delves into fiduciary principles, such as care, loyalty, and diligence, to guide ethical decision-making, vendor oversight, and conflict mitigation. Finally, you'll implement practical controls, including 72-hour breach alert clauses and audit-ready documentation, ensuring your firm's data privacy measures are as robust and trustworthy as your financial advice.

As the senior client population continues to grow, so does the importance of protecting this vulnerable group, which is frequently targeted for financial exploitation. In many cases, age-related factors may affect a client's ability to make sound financial decisions, making it the IAR's responsibility to remain vigilant, apply appropriate safeguards, and act in the client's best interest at all times. This course prepares IARs to meet their fiduciary duty when working with aging investors by recognizing red flags, documenting concerns, and applying SEC-compliant reporting protocols. You'll explore real-world scenarios, evolving regulatory expectations, and best practices for safeguarding vulnerable clients, including how to communicate effectively, identify diminished capacity, and respond to potential elder abuse. By the end of this course, you'll be equipped to act decisively, protect your clients, and ensure your actions meet today's heightened regulatory standards.

This course equips investment adviser representatives with practical knowledge to recognize, respond to, and help prevent two of today's most pressing cybersecurity threats: ransomware and account takeovers. Participants will explore how evolving tactics, including AI-driven phishing, impersonation, and adaptive malware, challenge traditional defenses. The course highlights regulatory expectations, including SEC disclosure obligations, enforcement priorities, and fiduciary duties, while emphasizing the IAR's role in spotting red flags, escalating concerns through firm-approved channels, and reinforcing secure client practices. By connecting compliance responsibilities with everyday decisions and ethical considerations, the course underscores how vigilance and sound judgment help protect client assets and preserve trust.

This course equips investment adviser representatives with practical strategies to uphold fiduciary duty, manage conflicts of interest, and navigate the SEC's Code of Ethics requirements. Through real-world scenarios and current regulatory guidance, participants will strengthen ethical decision-making, address emerging challenges like AI and digital communications, and contribute to a culture of compliance that builds lasting client trust.

This course guides Investment Adviser Representatives (IARs) through trading-compliance requirements under the Advisers Act. You'll learn how fiduciary duties of loyalty and care drive best execution - balancing cost, speed, and research quality - and monitoring trade allocations to ensure fairness. The curriculum covers Rule 204A-1 personal-trading controls, including access-person reporting and pre-approval workflows, as well as principal and cross-trades. In the final module, you'll explore Section 28(e) soft-dollar rules and Rule 204-2 recordkeeping to maintain a comprehensive audit trail. Enforcement case studies and 2025 exam priorities underscore the importance of rigorous documentation to protect client interests.

This course is designed for financial professionals, advisors, and investors and delves into key alternative investments, including hedge funds, private equity, venture capital, real estate, commodities, cryptocurrencies, and structured products. Participants will gain a clear understanding of their unique characteristics, risk-return profiles, and role in portfolio diversification. This course highlights real-world applications to provide practical insights into successful strategies and potential pitfalls. Participants will explore the evolving legal landscape governing alternative investments and emphasizes the importance of due diligence, risk management, and aligning investments with financial goals.