Approved IAR CE Courses

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.

Ethical Advertising explores how the SEC's Marketing Rule shapes every aspect of how investment advisers promote their services — from social media posts and client testimonials to performance claims and AI-generated content. Through real-world case studies, the course reveals how easy it can be to cross a compliance line, whether through cherry-picked returns, an undisclosed testimonial arrangement, or a careless repost on social media.

The course will provide context into historical rates, including the relatively low interest ratesover the last 10 years and the recent increase in interest rates. Next, students will learn how risinginterest rates will impact securities prices. This section will examine risk measurements andvaluation techniques for both stocks and bonds. The final section of the course will cover ethicalconsiderations and adjusting recommendations to clients during periods of rising interest rates.

In this course, students will learn the basic concepts of modern portfolio theory, which provides ajustification for using complex investment products. After introducing diversification of risk andncorrelated returns, the course will provide examples of complex investment products. Then thecourse will present the fiduciary duties of investment advisers established under the InvesementAdvisers Act of 1940. In this section, we'll also review an SEC Risk Management Alert for advisers of private fund. In addition, several examples of ethical violations involving complex products will beexamined.

The primary goal of the course is to teach students about an adviser's fiduciary responsibility and the requirement to create and implement a code of ethics. The course will also review some hypothetical situations and how advisers can handle them ethically. These situations include conflicts of interest regarding fees, explaining investment risks, trading authorizations, and ethical issues regarding initial public offerings (IPOs).

This course challenges financial professionals to go beyond simply following the rules by thinking critically about what it truly means to act in a client's best interest. Through real-world case studies, the course makes readers the decision-maker and walks them through a practical, step-by-step framework for resolving the ethical dilemmas that can arise in advisory work. For those interested in identifying the line between what's legal and what's right, this course will sharpen their instincts and strengthen the ethical foundation of their practice.